Assistant Controller

Professional Profile

Accounting Professional with twenty plus years of supervisory experience in multiple industries. A hands-on collaborative

leader with first-rate organizational skills and focused attention to detail. Adept at maintaining strong client relationships locally, nation-wide and internationally. Keen focus on compliance and communication. Proven record in resolving global cultural differences within a contemporary business framework. Successful in research, development and implementation of accounting systems, procedures, and protocols. Expertise includes:

Journal Entries, Monthly Close, and

production of monthly financial statements

Strong knowledge of GAAP and IFRS accounting standards

Ad hoc report creation for specialized reporting situations

Facilitating Positive and Effective Communication across

all levels and departments of global organization

Supervision of accounting staff on accounts ranging from

$300 thousand to $1.6 billion in assets

Reconciliation with 3rd party reporting sources

Development of in-house accounting software

Interviewing and selection of accounting staff

Annual tax and audit support

Cost accounting and analysis

Proficiency in Epicor/FrX, Bloomberg, Excel, Word, Access,

PowerPoint and Peachtree

Achievements

Successfully managed the relationship and supervised accounting for largest client

Liaised with clients, auditors, and accountants for efficient completion of largest annual audit [250+ reports]

Development group member for two proprietary software systems and subsequent upgrades

Successfully established record keeping, software platforms and monthly close procedures for start-up investment companies

Interviewed, selected, and trained several staff accountants

Interpreted legal documents to establish best practices accounting procedures and calculations

Researched, designed, wrote and implemented company-wide policies and procedures in adoption of new

accounting standards such as FIN 157 and NASD Rule 2790

On-site visits to promote mutually beneficial client relationships, effective communication, and efficient practices

Successfully managed all aspects of operations during Sr. Manager’s extended leaves of absence

Employment History

Swiss Financial Services, Inc., Naperville, IL

2003 - 2015 Accounting Supervisor overseeing several accounts including largest client (over $300k annual revenues);

oSupervise a staff of 3 – 5 accountants; review monthly financial statements, annual audit reports, and tax support documentation; apply analytical testing to evaluate plausibility of representations; assure compliance with

statutory requirements including GAAP and IFRS, particularly regarding trading leverage and asset allocation;

conduct annual performance reviews

oAudit lead; overseeing report production and platform consolidations for largest annual audit [250+ reports,

team of 8 accountants involving offices on two different continents]

oInternal software development; investigate software support options for client non-standard valuation and

reporting needs; write specifications for a portfolio system including offsetting trades, classification of gain

and implementation of corporate actions; write specification for an income allocation system including the

design of financial analysis reports and investor statements; beta-test applications; troubleshoot and consult

in correction of variances; assist implementation; train and support users; assist in subsequent upgrades.

oIn-house training; new and existing staff in upgrades to software; formal training presentations on new

accounting pronouncements and protocols; assist staff in technical, valuation, or applied accounting theory

situations; mentor, coach, and develop employees through orientation, training, establishment of objectives, communication of policies and rules, and constructive discipline; build morale and motivation; train key

personnel for establishing new offices in Waterford, Ireland and Singapore

oAssist Human Resources; appraise resume submissions, identify candidates, and conduct interviews for

staff accountant positions

oSpecial Projects Group providing innovative solutions to Sr. Management for a rigorously evolving regulatory

environment; analyze legal documents and create reporting regimens for complex fund structures and fee

arrangements; due diligence and special reporting assessments for restructure of companies including

start-ups, carve-outs, and acquisitions.

Employment History

Swiss Financial Services, Inc., Naperville, IL [continued]

1999 – 2003 Senior Hedge Fund Accountant, performing all aspects of general ledger, investor relations, and special

reporting for private investment companies and other commodity pools;

oRecord journal entries, create and distribute monthly financial reports and investor capital statements in

adherence to GAAP and company policy

oCollect and reconcile all 3rd party reporting statements, investigate breaks, download underlying asset reports

oVerify and record trades, agree fair market value of trading assets, and calculate realized, unrealized, new issue,

interest income and other investment-related gains and losses

oOversee Client Relationships; direct dynamic interface of needs and abilities to forge strategic alliances from

wide-ranging cultural diversity in tactically situated geographic locales

oTrack investor activity, verify capital investment and redemption outlays and report monthly results to investors

oPerform assurance due diligence on trading regulations, KYC statutes, AML verification and portfolio pricing risks

oVerify, calculate, reconcile and record liability accruals for all fund expenses including advisory compensation

oCreate annual audit reports; liaise with auditors, investors and traders to assure accurate and timely completion

oCompile data for tax filings and assist in creation of investor k-1 reports and PFIC statements

oValuations Specialist on non-traditional trading instruments; investigate industry standards and interview experts

in writing company policy on valuation procedure for specialized portfolios; including arbitrage, deeply distressed,

swap, derivative, and mortgage-backed instruments; report risk analysis to senior management; design, test and

apply software upgrades to portfolio system for non-traditional investment products

May – Aug, 1999 Accounting Assistant to help with accounting functions for largest investment fund;

oReconciliation of statements from 3rd party reporting entities

oPrice collection and reconciliation for trading investments

oAd hoc schedule creation for special reporting situations

oResearch and reporting of supporting data for annual audits

The Design Agency, Inc., Elk Grove Village, IL

1997 – 1999 Cost Accounting, Accounts Receivable, and Accounts Payable for company specializing in the

design and construction of trade show exhibits

oRecorded costs for exhibit construction, rentals, shipping, drayage, installation and maintenance

oCreated billing summary reports and detailed schedules of expenses

oLiaised with sales staff, assisted clients and collected on overdue accounts

oSupervised all aspects of the accounting for the company’s first $1 million plus exhibit

Mosaic Media, Inc., Addison, IL

1996 – 1997 Operations Manager; including Cost Accounting, Accounts Receivable, and Accounts Payable

functions for a publisher of computer training material to help indivduals and corporations better utlize

Microsoft Office, PageMaker, and many other software programs.

oSupervised warehouse staff of 3 in shipping, returns, stocking product

oServed as a key point of contact with critical external partners and vendors

oManaged physical facility including maintenance and stocking supplies for a company of 50+ employees

oYield Specialist assisting in cost analysis, distribution forecasting and pricing of inventory

oBegan as a customer service representative assisting customers in return of product and collecting on

overdue accounts; expanded role to identify opportunities for optimization and consult with sales to

achieve company goals

Education / Certificates

2003 Illinois Certified Public Accountancy Examination, pass

2000 Advanced Accounting Certificate, College of DuPage, Glen Ellyn, IL

1991 Master of Fine Arts, Sculpture, University of Colorado, Boulder, CO

1988 Bachelor of Fine Arts, Painting, Northern Illinois University, DeKalb, IL

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