Robert W. Francess, CPA
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Financial professional with 20+ years of diversified experience leading finance and accounting operations within various industries including Financial
Services, Technology and Healthcare.
Public/private CPA, leader of corporate finance & accounting functions with a deep understanding of, and hands-on expertise in building accounting infrastructure for start-up and growing operations, establishing management controls, Sarbanes-Oxley (SOX), strategic planning, cash flow management and regulatory reporting.
OMA CONSULTING GROUP September 2017 – Present Consultant / Advisor: Provide hands-on accounting, tax, business strategy and management services, including ERP system implementation to small and mid-sized companies.
WORLD GOLD COUNCIL 2014 – 2017 Controller – Head of Global ETF Operations & SEC Financial Reporting: The World Gold Council is the market development organization for the gold industry.
• Responsible for reporting, accounting and operations for a family of global Exchange Traded Funds in excess of $40bn AUM – listed on NYSE Arca and foreign exchanges.
• Completed Form S-1 and launched new family of currency based Gold ETF’s.
• Prepared SEC and foreign regulatory reporting including 10Q quarterly filings, 10K annual filings, and ongoing maintenance, development and compliance with SOX.
• Responsible for the accounting books and records for all U.S. Legal Entities (Sponsor, Investment Advisor registered with CFTC) and consolidation into London parent company including revenue and expense allocations.
• Led SOX implementation, internal control processes and performance improvements.
BONDS.COM GROUP, INC 2012 – 2014 Financial Controller, FinOp: Publicly traded riskless principal broker/dealer that owned and operated an electronic fixed income trading platform.
• As the organization’s first financial controller, responsible for the development and oversight of the Corporate Finance team.
• Managed SEC Reporting including consolidated 10Q quarterly filings, 10K annual filings and development, implementation and compliance with SOX.
• Led FINRA Reporting including monthly FOCUS preparation, review and filing. Registered FinOp and financial liaison to FINRA.
• Implemented new general ledger system, management reporting processes, corporate equity management system (ESOP) and accounting policies and procedures.
• Financial Statement
Preparation & Analysis
• SEC Financial Reporting
• Cash Flow &
• Budgeting & Forecasting
• External Reporting
• Team Building &
• Corporate & Product
• Accounting Systems
• Financial Process Design
• Financial Controls
• Product Incubation &
• Human Resources
• Insurance, Facilities
• Information Technology
• Operational Due
• Microsoft Dynamics
Accounting Systems /
Robert W. Francess, CPA
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GTI GROUP, LLC 2007 – 2011 Chief Financial Officer: A private equity firm managing $150M+ in assets which closed its New York office in 2011.
• Oversaw the accounting and reporting of several Venture Capital / Growth Equity portfolio companies within the Energy, Media, Healthcare and Aerospace sectors.
• Administered capital calls, fund accounting, waterfall distributions, tax, control and reporting of multiple domestic and offshore entities (LP’s, LLC’s and Ltd.’s.).
• Took part in fund raising activities, including preparation of deal books, model analysis, road shows and investor presentations and meetings.
• Managed accounting and operational due diligence on target acquisitions.
• Developed, implemented and enforced all Corporate Policies and Procedures. M.D. SASS INVESTORS SERVICES, INC 2003 – 2007 SVP - Chief Financial Officer: A leader in investment management with $13B AUM.
• Managed controllers, fund/portfolio administration, human resources, information technology and marketing support personnel – 48 employees spanning 4 locations.
• Responsible for all assets under management in excess of $13B, in a variety of financial products and investment vehicles. Products included distressed equities/debt/ABS, long/short equities, real estate and mezzanine lending, fund of funds, taxable fixed income, municipal bond arbitrage, commodities and other alternative strategies.
• Managed financial, tax and client reporting for 250+ separate accounts and 25+ limited partnership’s consisting of private equity and hedge fund vehicles.
• Managed financial and tax reporting for several Registered Investment Advisors, numerous privately held LLC’s and a single Broker Dealer.
• Implemented a new portfolio accounting and general ledger system platform.
• Managed all financial aspects of the CEO’s and President’s Family Office operations, including the maintenance and monitoring of several offshore trust vehicles.
• Responsible for the financial aspects of the CEO’s Charitable Organization.
• Prepared and presented monthly management reporting to management and Executive Committee.
• Administrated and managed firm-wide sales commission programs and senior management incentive compensation programs.
• Materially involved with the successful launching of several new hedge and private equity funds in addition to a joint venture partnership with a large foreign investment bank – worked alongside newly formed Sales & Marketing Team to raise capital for underlying funds.
Ramius Capital Group, LLC, Director – Global Controller, Feb 2007 – Aug 2007 Moore Capital Management, Inc., Assistant Controller, 2002 – 2003 Zurich Scudder Investments, Inc., VP – Assistant Controller, 1999 – 2002 KPMG LLP, Supervising Senior Accountant II, 1995 - 1999 EDUCATION
• Iona College
Bachelor of Business
• Certified Public
Accountant, New York
• Financial and
Operations Principal –