Manager Accounting
Resume:
VINCENT L. FARLEY
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Home 732-***-****
Cell 732-***-****
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PROFESSIONAL EXPERIENCE
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DEUTSCHE BANK SECURITIES
Review of (SEC Rule 15c3-1) Net Capital Support schedules for FOCUS which
includes Charges for Non-Allowable, Operational, Haircuts and Reconcile Stock
Borrow with ALDOP monthly.
E*TRADE FINANCIAL
Preparation of Weekly Customer Reserve (SEC Rule 15c3-3).
Preparation of Monthly FOCUS Report (SEC Rule 15c3-1) support schedules.
Calculation of Daily CASS Report for UK Regulatory Authority.
Preparation of SSOI for FINRA Quarterly submission.
BANK OF AMERICA MERRILL LYNCH & CO.
Daily funding of corporate expenses charged to subsidiaries of ML& Co. and
process clearance settled as intercompany loans.
Recording of Prime Brokerage Margin Lending to UK Offshore Clients.
Prepared SEC Reporting Disclosures for several Entities.
Prepared Quarterly Federal Reserve Reporting of FRY-11 for several Entities
based on quarterly variances for Balance Sheet & Income Statement accounts.
SANTANDER INVESTMENT SECURITIES
Daily Calculation and Filing of Net Capital for Exchange Traded Derivatives
with Chicago Mercantile Exchange and ICE.
Provide Financial and Regulatory Reporting for the Broker Dealer which
included Daily Reporting and Month-End Closing and Reporting.
Prepare schedules for monthly FOCUS Report (SEC Rule 15c3-1).
09/2009 to ICIMS.COM, INC.
12/2010 Accounting Manager
Prepare month-end reporting package and actual to budget variance analysis.
Financial Management and Reporting of International Entity.
Supervision of 3 employees that included the following areas: Accounting,
Accounts Receivable, Accounts Payable and Payroll.
01/2008 to FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
08/2009 Associate Principal Examiner
Plan and supervise Regulatory Oversight and Operational examinations of
Member Firms.
Supervise financial and operational audits of Member Firms, verifying
compliance with SEC, NYSE and FINRA Rules and Regulations. Including SEC
Rules 15c3-3 and 15c3-1.
Review adequacy of systems and Internal Controls over such risks as Trading,
Credit, Pricing, and Operations. Review of new products and trends including
Agency Lending, Bank Sweeps and Sub Prime Lending.
Identify potential risks and plan examinations of member firms to meet FINRA
risk based review projects as Lead Examiner of team.
Lead Examiner supervised and provided guidance, training and technical support
to examiners, evaluated examination team and reviewed work-papers.
08/2006 to Consultant
09/2007
RIDGE CLEARING AND OUTSOURCING SOLUTIONS, INC.
Preparation of weekly and monthly Self Clearing Regulatory Reporting (SEC
Rule 15c3-3 & SEC Rule 15c3-1) support schedules.
DEUTSCHE BANK NEW YORK
Review of inter-company P&L and BS reporting for New York branch and follow
up on resolution for reporting to Frankfurt Head Office.
01/2006 to INVESTEC (US) INCORPORATED (Acquired by Bank Hapoalim)
03/2006 Financial Controller
Prepared monthly financial reporting package to head offices in South Africa.
Provided a weekly forecast analysis for P&L and variable and fixed expenses.
Preparation of monthly FOCUS Report (SEC Rule 15c3-1).
Supervision of 2 employees that included the following areas: Accounting -
Technology and Accounts Payable.
05/1998 to SANTANDER INVESTMENT SECURITIES
01/2006 Accounting Manager / Assistant Treasurer, Financial Control
Provided financial and management reporting to parent company and upper
management using Generally Accepted Accounting Principles (GAAP).
Prepared month-end closings for trading accounts and calculated accruals.
Perform monthly variance analysis on actual verses budget and explanations.
Responsible for weekly calculation of the Customer Reserve Formula (SEC Rule
15c3-3) and monthly FOCUS Report (SEC Rule 15c3-1).
SKILLS
Proficient in Microsoft Office programs such as Advanced Excel (lookup functions, pivot tables, etc.) and
Word. Accounting systems utilized include: ADP, Oracle, SAP, Netsuite, Solomon and MS Dynamics.
EDUCATION
Monmouth College, West Long Branch, NJ
Bachelor of Science in Accounting, May 1987
Currently pursuing CPA License
Parts passed: FAR – August 2013
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