Accounting, broker-dealer, regulatory

Executive Profile

Over twenty-eight years of brokerage operations and accounting experience within the financial service industry with expertise in compliance and regulatory reporting. Demonstrating the ability to design, develop, and implement effective management reporting and improve operational efficiencies. Possess excellent interpersonal, collaborative, multi-tasking, and supervisory skills.

Technical Skills and Qualifications

Accounting and Financial Reporting, Regulatory Capital Risk Analysis, FOCUS Reporting, Net Capital 15c3-1, Customer Reserve Formula 15c3-3, Inventory Haircuts, Extensive SEC and FINRA examination experience, Bloomberg Trading Systems, Beta Accounting Systems, Lawson General Ledger Software, Microsoft Office,

Pershing NetX360 Clearing System.

Licenses and Certifications

Finra Series 27 – Financial Principal

FinraSeries 7 – General Securities Representative

FinraSeries 99 – Operations Professional

FinraSeries 24 – General Securities Principal (test window currently open)

Professional Experience

Mesirow Financial, Inc. – Chicago, IL

Chief Operating Officer & Senior Managing Director

Institutional Sales& Trading Department Dec 2010 - Present

Supervise all sales and trading activities ofSalesmen, Traders, and support staff. As well as managethe firm’s Operations Department to resolve any trade clearance and settlement issues.

Work closely with Legal and Compliance Department to monitor and ensure securities trading compliance with FINRA rules and regulations.

Responsible for review of the department’s monthly Balance Sheets, Income Statements, and accounting close processes.

Review and approval ofmonthly FOCUS Reporting, daily net capital forecasts and early warning tests as directed by SEC Rule 15c3-1, and othervarious regulatory filings.

Created and maintain risk management reporting as it relates to Institutional trading inventory levels and pricing in order to provide daily analytics of company cash flows to senior management.

Monitor, review, and analyze the firm’s trading limits, capital usage, liquidity and funding, trading profitability, and sales revenue.

Responsible for risk review of all firm trading products,includingbut not limited to, stress testing scenarios, DV01 analysis, VAR scenarios, and duration analysis of inventory positions.

Collaborate with various departments to ensure operational efficiencies within the business unit.

Serve as a liaison for all Regulatory, Accounting, Compliance, and Audit related issues with FINRA and SEC examiners and internal/external auditors.

Senior Vice President

Regulatory &Corporate Accounting Department Mar 2003 - Dec 2010

Managed a staff of senior accountants and provided training and guidance to new hires and colleagues within the department.

Responsible for monthly general accounting close process of the broker dealer, reviewing of company balance sheets and income statements, in addition to the maintenance of all accounting ledgers and reconciliation processes.

Responsible for the computation, review, and filing of the monthly regulatory FOCUS Report,weekly Customer Protection 15c3-3, anddaily Net Capital computation 15c3-1.

Created and maintained daily cash flow analytics and key performance indicators to maximize financing liquidity and increase cash management efficiencies.

Analyzed budget vs. actual variances for Private Client Services, Institutional Sales and Trading, Credit Tenant Lease, Public Finance, and Corporate Finance business units.

Served as a liaison for Compliance and Audit related issues with various exchange examiners and external auditors.

Professional Experience (continued)

ABN AMRO Inc. - Chicago, IL

Assistant Vice President

Finance & Regulatory Department Jun 1999 - Mar 2003

Responsible for the FOCUS Report, SEC Rule 15c3-3, and SEC Rule 15c3-1.

Preparation of quarterly and annual reports to the Securities and Exchange Commission, Department of the Treasury, And the Department of Commerce (17H Risk Assessment, FR Y-9C Consolidate Financial Statements for Bank Holding Companies, BE-605 Transactions of a US Affiliate with Foreign Parent.

Developed and maintained a weekly and monthly Regulatory Capital Allocation Model.

Assisted with general accounting of month end close process and review of Balance Sheet and Income Statement.

Served as a liaison for compliance and audit related issues with various exchange examiners and external auditors.

Merrill Lynch and Company Inc. - Princeton NJ

Assistant Vice President

Regulatory Reporting Department Jan 1994 - Jun 1999

Responsible for the calculation and the review of the weekly and monthly inventory haircuts and capital charge computation per Rule 15c3-1.

Performed weekly computation of reserve requirements for customer protection as directed by

Rule 15c3-3.

Conducted monthly reconciliation of firm’s intercompany and broker proprietary accounts.

Prepared and reviewed the monthly and quarterly Global Regulatory Capital Adequacy Compliance Reports which monitored 65 globally regulated entities under the parent company.

Supervisor / Accountant

Cash Control Department Jul 1991 - Jan 1994

Monitored and reviewed the daily and monthly bank account reconciliations of nine subordinates.

Trained new employees within four different reconciliation units.

Reviewed potential structured deposits and determined the filing status of a Currency Transaction Report (CTR) Form 4789 with the Internal Revenue Service.

Education

Rider University - Lawrenceville, NJ

Bachelor of Science in Business Administration – June 1991

Finance major with a concentration in Business Law

Core Accomplishments

Mesirow Financial Superior Support Service Award 2013: This award recognizes employees whose day-to-day responsibilities are to assist our salespeople through various support functions. This award is appropriate for individuals who may not have direct client contact, but focus on serving the salespeople within their unit/department/team.

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