legal,finance,accounting

DOUGLAS T. HOANG

***. ***. **** • ad0url@r.postjobfree.com

**** ********* **., ****** ***, Texas 75068

■Purdue Global Law School JD Candidate 8/2021 - Present Financial Experience

■NYLIFE Securities LLC 1/2020 - 8/2021

■New York Life Insurance Co. 12/2017 - 8/2021

Frisco, Texas Registered Representative Financial Services Professional

Produced $67.9 million in financial solutions with insurance, investment, annuity, long-term care products •#1 in year 1 agent class, #2 in year 1-3 agent class, #14 in W. Central Zone.

Business focus: executive benefits/succession planning for small businesses, retirement planning for small business owners •Geographic focus: N.Dallas •Technology used: Salesforce.

■Thomson Reuters Corporation 6/2014 -11/2016

Carrollton, Texas Tax & Accounting Representative Tax & Accounting Services

Assisted Firm Edition clients [PwC, Deloitte, EY, KPMG, Grant Thornton], corporations, partnerships, individuals e-file their Federal (IRS, Treasury), multistate, local income tax returns.

95% resolution of over 21,000 tax cases, ensuring SLAs met Resolutions included 1120 Sch. L,M-1,M-3 balance sheet and income sheet reconciliations, and 1065 Sch. K corrections.

Assisted: minimizing annual tax liability; provisioning tax; computing state sales, use, income, and franchise tax; and fixing errors in state allocation, apportionment, NOL carryforwards.

Analyzed statements for tax adjustments, tax implication of transactions, changes in consolidated statements, and validity of consolidated structure (parents, subsidiaries, eliminations).

Conducted internal tests of ONESOURCE/GoSystem. Projects entailed XLS import/export of K-1, other data; software setup, configuration; issue-tracking in Salesforce; and tax research.

■Vertex, LLC 2/2014 - 3/2014

Richardson, Texas Internal Auditor [single engagement]

Executed and documented audit program tests for financial and operational mitigation of risks and compliance with UK/US policies in AR/AP, including invoicing, credit, and collections.

Executed tests of controls and substantive tests of valuation Detected weaknesses to help prevent fraud or inaccuracies in A/R Recommended process improvements in credit/ debit.

Analyzed duties segregation, interviewed staff, diagrammed workflows Inspected notes, traced invoices, recalculated A/R and debt Reported results, remediations, recommendations.

■Madison Proprietary Trading Group, Inc. 10/2009 - 2/2011 Florham Park, New Jersey Registered Representative Equity Trader

Traded marginable equity/ETF portfolio of approx. $1 million for firm account–using statistical tools/indicators to limit/offset risk, stabilize return, optimally leverage, and allocate capital.

Designed, tested, implemented, monitored, enhanced trading strategies to hit performance targets, i.e., Sharpe, alpha, beta volatility •Technology utilzed: REDIPlus, TradeStation, Excel.

■JPMorgan Chase & Co., Inc. 1/2008 - 9/2009

Dallas, Texas Fund Accounting Analyst Institutional Fund & Accounting Services

Calculated, managed inquiries regarding securities valuations/accounting of $.5 billion in portfolios of institutional client base–corporations, foundations, endowments, states, localities.

Resolved daily discrepancies in held securities, cash, derivatives, loans, all assets/ liabilities.

Ensured correct reconciliation, p&i entry, pricing, trade settlement, corporate actions, wire transfers, currency translation, asset migration, GAAP/FASB accounting–to deliver accurate, complete, and timely Fund Accounting Statements to clients and to foster satisfied relations.

Prepared PnL/NAV reports, schedules to support SEC filings, earnings releases, etc. •Worked with Pricing, fund managers, custodians to clear exceptions •Trained hires in Bloomberg.

■Morgan Stanley & Co., Inc. 1/2007 - 11/2007

Dallas, Texas Registered Representative Financial Advisor Global Wealth Management

Provided financial advisory, wealth planning, structured product, bond, trust, annuity, insurance, credit line, loan, cash/deposit services to self-developed $25 mil. AUM accredited base.

Advised regarding asset allocation, manager selection, alternative investment, portfolio risk/return, portfolio rebalancing–using firm resources, Excel. •Adhered to industry ethical rules.

Liaised across trust, estate, charitable, commercial/investment banking units to craft individual client solutions–accounting for taxes, risk, return, rates, fees, liquidity, diversification, etc.

■Amerest Securities, Inc. 11/2005 - 10/2006

■Chestnut Exploration Partners, Inc. 4/2005 - 11/2005 Dallas, Texas Registered Representative Oil/Natural Gas Broker

Developed investor relationships and formed limited partnerships via SEC Regulation D private placement to accredited investors–to raise capital to drill, test, and produce oil/gas wells.

Marketed and sold oil/gas direct participation programs.

Estimated/projected for clients: well production, working interests, net revenue interests, royalties, cashflow, IRC §263, §168, §611 tax benefit/savings Used ACT for CRM/prospecting.

■MyClik, Inc. See “Supervisory Experience.” 9/2001 - 4/2005

■Joseph Stevens & Co., Inc. 1/2000 - 8/2001

New York, New York Registered Representative Securities Broker

Financial sales. Equities/equity options stockbroking, including IPO Used firm fundamental and technical research Built, prospected, called, qualified, closed, serviced $3 million book.

■State Street Corporation 4/1999 - 12/1999

Kansas City, Missouri Portfolio Administrator Global Custody Services

Prepared, processed, and reviewed: •transaction journal entries •periodic cash, other bank reconciliations for funds •monthly, quarterly, annual capital statements •ACH fund transfers.

Maintained institutional client general ledgers •Prepared financial statements •Calculated start-of-day and end-of-day fund balance calculations for day/ overnight investment into SSGA. Supervisory Experience

■MyClik, Inc. 9/2001 - 4/2005

Dallas, Texas Operating Officer

Coordinated oversight of alpha unit, component, and system testing and beta user acceptance testing of a core .net Web application •Used Mantis to issue-track and ensure resolution.

Gathered, prioritized product requirements •Wrote business requirements documents •Converted requirements into user stories with acceptance criteria.

Created RACI matrices in Excel and Visio swim lane flowcharts to increase project clarity and improve project outcomes •Maintained traceability matrices.

Conducted project kickoff and status meetings •Assigned resources, tasked assignments, updated/modified project schedules/Gantt charts in MS Project.

Assisted, designed, wrote scripts for the online Help System, product manuals, Intranet •Wrote legal agreements and maintained all records, patents, etc.

In QuickBooks, managed customer, vendor, employee data; operations [bill clients; create POs, pay vendor bills; print checks]; payroll; and online banking. •Generated reports for CEO. Education

Purdue Global Law School

Juris Doctor Candidate 8/2024 Expected

The University of Texas at Dallas–School of Management

Master of Science in Financial Management 5/2010

Recognitions

Dean’s List 8/2023, 5/2023 Distinguished Scholar 9/2022 CALI 4/2022, 12/2021 Purdue Global Law School Scholarship 9/2021 NYL 175th Anniversary Award Executive Council NYL Top New Agent

NYL New Agent of Month NYL Latino Leader of Month Registrations & Certifications

FINRA Series 7, 22, 31, 63, 65 Life & Health insurance Certified Internal Auditor (CIA) Certified in Risk Management Assurance (CRMA) Certified Government Auditing Professional (CGAP) Retire- ment Income Certified Professional (RICP), 2 of 3 courses ONESOURCE GoSystem Skills & Application familiarity

Financial/Fund/Income Tax Accounting,Analysis,Reporting SEC,IRS Filings Internal Audit SOX Risk Mitigation Compliance Financial Advising/Wealth Management Securities Trading/Regulation In- stitutional Service •Alternative Investments •ERISA Corporate Law/Governance Legal Research/Writing Westlaw Bloomberg Workiva TradeStation REDIPlus MS365 Project Visio Visual Basic SQL

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