CFO, SVP/Director - Finance, Controller
Resume:
Lisa Judith Janke
Huntington, New York *****
**********@*****.***
CAREER EXPERIENCE:
Ernst & Young LLP, Manager, Advisory Services, Performance Improvement, Financial Management; 2010 – current
Started-up and led a Global Process Owner (GPO) campaign based on client interest. Initiated client roundtables focused on the
record-to-report, accounting and reporting, processes for Global Banking and Capital Markets clients. Invited three GPOs from
up to ten clients who were members of executive leadership in the finance organization with either direct or dotted-line reporting
to the Head of Finance or the CFO. Clients requested a quarterly event due to success of the initial roundtable. Led decision-
making, organized and prepared materials for GPO roundtable events and campaign. Drafted the first ‘Point of View’ proposal
deck to assist clients with finance transformation solutions. Wrote a published whitepaper article on GPO current state among
industries and preparedness. GPO is a governance approach being deployed across the finance function by several leading
global financial services firms. GPO plays an essential role in implementing change.
• At a global leader in mergers and acquisitions advice, and securities underwriting, managed a general ledger (G/L) chart-of-
account usage documentation project and a small team. D ocumented chart-of-accounts usage for over 17,000 unique accounts
on the firm’s G/L. Captured all account (a/c) purposes, enforced consistent a/c usage, eliminated duplicity and facilitated review
by outside parties, .e.g., auditors, regulators. Completed initial documentation of a/c’s and established a maintenance process.
Coordinated with Financial Reporting and other departments to determine individuals responsible for documentation,
communicated responsibilities and the documentation process to a/c owners, reviewed documentation, established quality
controls and coordinated revisions when required, coordinated review and sign-off on documentation by a/c owners within the
Financial Reporting team and documented maintenance procedures. Collaborated efforts with the clients Financial Systems and
Analysis team, confirmed approach, developed timelines and provided guidelines on proper documentation. Hired and managed
resources in Bangalore to provide global coordination and minimize cost.
• Led multiple global regulatory campaign initiatives. Led team through Form PF (private funds) SEC filings for a hedge
fund manager client at a large global bank. Oversaw a legal entity analysis project surrounding push-out rules at the world’s
largest bank that provides deposit, lending, leasing, investment advice and trust services in more than 40 other countries. Led
team and helped respond to clients request for information on registration options by preparing a findings and recommendations
report showing current state understandings and observations. Led teams at a large global bank, guided external client
workstream owners thru various phases of an impact assessment on Dodd Frank Title VII. Led multiple workstreams, business
model (trade execution, house clearing, legal entity analysis), foreign exchange (FX) and derivatives reporting. Oversaw
documentation of rules to requirements, analyzed current state versus future state requirements, performed gap analyses,
identified projects to close gaps, documented milestones for projects completions, developed roadmap towards implementation
and helped design the future state target operating model.
• Advised clients in global finance, led team on first FATCA project within practice, four workstreams: business model, tax,
client reporting, accounts payable. Defined transaction payment flows and client reporting standards. Documented current and
future state target model.
• Led and created quality assurance control process and team on business transformation methodology roll-out and strategy
initiatives.
LJS Consulting Group Ltd., President, CEO, Senior Consultant; 2009 – 2010
Incorporated a consulting company to provide financial services to companies in need and aim to improve organization
structures, processes, controls and reporting to enhance efficiency and effectiveness. Products and services included finance,
accounting, transformation, process improvement, management, reporting, investment banking, strategy, institutional trading,
product control, risk, performance and financial reporting for firms that include global banking, capital markets, asset
management, investment management, hedge funds and brokerage.
HSBC, Senior Consultant, Global Banking and Markets; 2008 – 2009
Restructured financial management reporting process and the financial reporting department. Supported drastic financial
restructuring. Took over positions and responsibilities of the SVP (Senior Vice President), VP and Financial Analyst, while
improving groups effectiveness.
Designed and developed C-level financial reports annually, semi-annual, quarterly and monthly for Global Banking (including
Portfolio Management, Private Equity, Credit Derivative Swap Hedges), Global Markets (Foreign Exchange, Rates, Derivatives,
Emerging Markets, Credit, Corporate Trading, Balance Sheet Management), and Global Transaction Banking (Payments & Cash
Management, Bank Notes, Issuer Services, Alternative Fund Services) within Excel and PowerPoint presentations submitted to
Senior Management in US and UK, reported variances to prior periods and budget, and analyzed conclusions.
Supervised team of VP’s on financial reporting using US GAAP and IFRS accounting standards, SOX initiatives, budgeting,
estimates and system analyses. Performed parallel financial system tests, streamlined reporting process. Held budget reviews
and facilitated plan revisions.
Merrill Lynch, Vice President, Treasury Finance; 2007 - 2008
Head controller with ownership and management oversight for design of entire financial process surrounding three $12b
structured trades (International Liquidity Facilities) belonging to C-level management. Complex transactions were senior debt
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obligations including interest rate swaps, preferred shares and Eurobond loans, with intercompany (NY, UK, Dublin) and third
party relationships.
Developed position and restructured processes to be head controller and key contact. Oversaw eight legal entities (UK, Cayman)
within the deals. Developed financial reporting; budgeting and forecasting; annual, quarterly, monthly management reporting;
10Qs; fair value option and hedge analysis reporting, debt disclosure and long-term borrowings. Reviewed and submitted US
GAAP and UK IFRS financial accounting adjustments, performed repatriations, audit reviews, consolidation schedules,
deconsolidations, calculated deal splits, reported equity pickup rollforwards to retained earnings. Created effectiveness
schedules on MTM values using FAS155 credit spreads and LIBOR.
Reported and calculated current and deferred taxes, income tax provisions, temporary and permanent differences, and planned
FX dividend tax payments. Supervised cash flow processes, decided capitalization strategies, managed infusions, developed
procedural documentation, designed processes automations, performed repo facility testing, calculated demand loan interest,
tracked reverse repos, managed legal and administrative documentation of the structured transactions.
Took over Director position. Collaborated with traders, operations, auditors, legal, finance, global tax, head business managers,
bankers, management and corporate reporting on solutions. Held weekly project progress meetings. Developed best strategies on
trade executions.
BNY Convergex (BNY Brokerage, LJR, WRA, Pershing, Eze Castle), AVP, Senior Financial Analyst, Finance; 2006
- 2007
Managed team providing C-level financial management reporting and analysis in PowerPoint and Excel presentations for entire
brokerage firm (execution only, soft dollars, commission recapture; domestic and international products and services, such as
equity trading, fixed income, transitions, hedge funds, wholesale, direct execution, electronic trading, program trading, master
brokerage). Developed detailed business decks to guide senior management to drive best possible business decisions. Calculated
gross and net cents per share, soft dollar ratios, NASDAQ and NYSE benchmark comparisons. Maintained and improved data
warehouse client base system to streamline data in management reporting process.
Julius Baer Investment Management, AVP, Senior Financial Analyst, Product Controller, Finance; 2004 – 2006
Designed multiple processes to meet SEC standards. Developed financial reporting processes and performance management
reporting PowerPoint presentations for board meetings. Developed profitability reporting across funds (international equities,
commingled, separates, mutual) and bonds (total return). Took sole responsibility for structure. Developed asset management
and private banking sales commissions processes. Oversaw plan to decide and implement system to automate commissions
process. Calculated performance fees and platform charges. Attended SIA conferences and SEC board meetings. Ran budget
meetings. Automated allocations and fixed asset depreciation. Developed special compensation accounting methodology
changes, managed accruals, form 1062 and performed variance analyses. Traveled to Switzerland (parent) to collaborate
financial reporting processes and mainstream systems. Direct report to CFO.
Morgan Stanley, Manager, Investment Management Controller; 2003 – 2004
Sole responsibility for Van Kampen Investment reporting, regulatory reporting, 10Qs, presented and discussed material
variances in monthly meetings and conference calls, investigated actual variance explanations for profit/loss (P/L) and balance
sheet (B/S), prepared estimates, performed security revenue reconciliation reporting, resolved intercompany breaks, managed
monthly allocation processing, automated direct allocations and fixed asset depreciation, maintained G/L cost center (CC) and
a/c mappings, automated monthly and quarterly spreadsheet procedures, handled SOX filings, developed procedures
documentation and authorized P/L monthly figures sign-off. Approved and documented monthly B/S balances, responded to
adhoc G/L and allocation inquiries, performed integration testing for new Genesys application tool, monitored suspense and I/C
a/c’s and set-up new B/S reconciliation process.
Citigroup, AVP, Financial Controller, Treasury, E-Business; 1997 – 2002
Owned set-up of all financials on start-up of new joint-business venture; opening, formation, function of eight entities (NY,
Delaware, Bermuda, Ireland, London) containing two levels of consolidations with elimination units. Worked closely with small
team on strategies for best performance of entire project model. Developed ordinary and contingency procedures,
recapitalization structures, adjusted for additional funding, traveled to London for discussions on US developments, gained
better knowledge over UK operations, created financials for individual and consolidated legal vehicles and shareholder
distributions. Configured static data in subledger system acquired (OPICS). Mapped subledger to G/L a/c’s. Held weekly and
monthly financial meetings and conference calls (UK, Ireland) to discuss figures, changes, open items, plan progress, and next
steps with CEOs and head business managers. Deciphered necessary financial requirements, funds transfers, performed multiple
phases of integration testing before going live. Created and monitored cash controls, commercial paper and expense models.
Provided rating agency material, credit risk, designed UK feed approvals, reconciliations and monitored expense codes.
Conversed with lawyers to accept legal entity matters, worked on Irish vehicle proposals, forecasted projections, minority
interest, subordinated debt, G/L balance confirmations, policy write-ups, agreements and developed FASB 133 approval
documentation.
Reviewed weekly FX Federal Reserve Bank reports for Citibank, Salomon Forex Inc. and Salomon Smith Barney businesses;
monthly and quarterly regulatory reporting; and options. Calculated futures and spot rates. Reconciled FX P/L, probed
differences between G/L and sub-ledger systems for multiple departments, B/S analysis, authorized a/c mappings and
modifications according to FASB requirements, reviewed Income Statement and B/S preliminary and final month-end G/L
balances, London options adjustments, short position charges, brokerage, futures revaluations, pricing, market value, proprietary
trading, accruals; separate monthly B/S meetings for each business entity. Prepared B/S package, working capital, product line
B/S, unrealized P/L, margin calls, I/C and tax reporting.
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Solely responsible for internal audit review, department control function activity-based cost reporting analysis of two groups,
quarterly regulatory reporting for two separate entities, financial statement treatment, cash flows and other regulatory exposure for
Federal Reserve Bank reporting, management profitability reporting, rate reasonability, G/L analysis, proof differences; accountable
for entire collateralization of securities process, variable rates, excess funds and FX overdraft charge reconciliations. Calculated
investment contracts, amortization and interest. Responded to pending trustee queries, external audit requests and funds transfers.
Implemented three systems, conversion parallel testing, B/S a/c reconciliation monitoring, management information system (MIS)
process, initial public offerings (IPO), FASB reporting, P/L, investing and swaps. Worked closely with traders, cash position
analysis, FIDICIA quarterly memocable reporting and risk reporting. Developed procedures documentation.
EDUCATION: Bloomsburg University, Bloomsburg, Pennsylvania, U.S.A.
Bachelors of Science in Business Administration, Major: Accounting, May 1997
HONORS AND ACTIVITIES:
Volunteer Income Tax Association (VITA), equestrian show jumping, chamber orchestra, CPA candidate, SIA conferences
participation.
COMPUTER KNOWLEDGE:
DOS, Windows; Microsoft Publisher/Office, Excel (pivot tables, macros, formulas, Essbase), Word, PowerPoint, Access,
Outlook; Lotus Notes; WordPerfect; dBase; Turbo Tax; QuickQuant, QuickBooks, QCommissions; SQL; Solar; OPICS; Face,
Race; EPICS; Microbook Millennium; CTS; Exchange; Trafis; GLDP; Cititracs, Citichecking; CFC; SAP - Core, G/L; M&D;
Omega; Genesys; AccPac; Crystal; TaxStream; Summit; Glacier; Muskateer; BSAO; Pegasus, FDM; Oracle Discoverer, FGI;
Hyperion – Reporting, Retrieve; LESA, SOX.
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