WILLIAM STIFFLER

** ***** ****

Hazlet, N.J. ****0

732-***-**** Home

732-***-**** Cell

EDUCATION

Monmouth University

May 2003 MBA

May 1991 BS, Business Administration

Major: Finance, Minor: Economics

LICENSES

Series 7, 27 and 63.

COMPUTER SKILLS

EXPERIENCE

Access, ADP, Business Objects, Cognos, Excel, Broadridge (Impact,Gloss),

Oracle general ledger, Quickbooks, Showcase, Sungard Phase 3

September 2010 Credit Agricole Securities USA, Inc

To Present New York, NY

Controller – Regulatory Reporting

Reviewing weekly and month-end Customer Reserve and PAB requirement in accordance with SEC Rule 15c3-3.

Preparing and reviewing monthly FOCUS and quarterly Form Custody, OBS and SSOI report with CFO.

Calculating estimated net capital on a daily basis based on SEC Rule 15c3-1.

Preparing and reviewing monthly FOCUS management reporting with CFO and CEO

Preparing and submitting all Federal Reserve reporting requirements (TIC S, TIC SLT, TIC BC and TIC BL).

Responding to all FINRA, Federal Reserve, internal, and external auditor inquiries regarding monthly, quarterly and annual filings.

Ensuring proper general ledger mapping relating to FOCUS reporting.

Interacting with operations department to ensure proper customer reserve and FOCUS filing treatment.

Reconciling repo desk, stock borrow-stock loan, corporate bond and equities to the general ledger and ensuring proper related haircut calculation for FOCUS reporting.

December 2008 Seton Securities Group, Inc.

To August 2010 Union Beach, NJ

Controller-FINOP

Responsible for accounts payable, accounts receivable, general ledger and

bank reconciliations.

Creating monthly income statement, balance sheet and ad hoc management reporting requirements.

Reviewing and analyzing monthly management reporting results with CEO and general partners.

Preparing and filing monthly FOCUS report.

Assessing cash requirements on a daily basis.

Responding to all FINRA and year-end audit inquiries.

Reconciling monthly fixed income and equity trader profit and loss statements.

Processing salary, commission and profit and loss payments on a monthly basis.

Creating year-end audited income statement, balance sheet and cash flow statements.

Preparing and reconciling consolidated daily profit and loss statement on a firm-wide basis.

Reconciling books and records of the firm versus clearing firm reports (Fidelity, Jefferies and Pershing).

Ensuring compliance with minimum net capital requirements on a daily basis.

Posting monthly expense accruals.

March 2005 Mizuho Securities USA

To November 2008 Hoboken, NJ

Assistant Controller-Financial Reporting and Analysis

Prepared and submitted monthly management reports fixed income, futures, equities and corporate division.

Reviewed and prepared all head office reporting in compliance with IFRS GAAP.

Created and filed quarterly SEC financial statement reporting requirements-consolidated income statement, balance sheet and cash flow statement.

Submitted monthly actual versus budget analysis to the CFO for executive management committee meeting.

Assisted in the preparation and filing of monthly FOCUS report.

Created year-end audited consolidated financial statements.

Calculated weekly net capital and customer reserve requirements.

March 1999 Mitsubishi Securities USA

to February 2005 New York, New York

BANKING OFFICER – ASSISTANT VICE PRESIDENT

Prepared and submitted all head office monthly, quarterly and year-end reporting requirements in compliance with Japanese GAAP

Reviewed and approved daily general ledger reconciliations.

Filed and prepared all monthly regulatory reporting requirements (FOCUS and Federal Government reporting).

Reviewing weekly and month end customer reserve requirements.

Created accounting manual detailing accounting policies and procedures.

Calculated traders P&L on a daily basis for fixed income and equity financial products including futures, repos and capital markets.

Supervised and trained accounting staff on daily general ledger reconciliations and month end closing procedure.

September 1998 Cantor Fitzgerald

to February 1999 New York, New York

ACCOUNTANT – General Ledger/Financial Reporting

Created monthly balance sheet and income statements.

Consolidated financial statements on a firm wide basis.

Implemented and audited balance sheet account control and analysis.

August 1991 to Salomon Smith Barney

September 1998 New York, New York

SENIOR ACCOUNTANT – Commission Reporting and Analysis

Responsible for monthly balance sheet analysis relating to commission compensation on a firm wide basis.

Allocated various compensation-related expenses to the proper P&L.

Balanced the commissions payable liability account.

Reconciled and paid monthly commissions to Institutional Equity and International Sales division.

Verified all commission and bonus related accruals on monthly and yearly basis.

Contact this candidate