Executive Summary: Hands-on, detailed oriented and strategic professional in the field of Regulatory Reporting for Broker/Dealers with a passion for excellence, change management and best practices. Extensive experience in risk management, data analytics and control providing the infrastructure for Governance, Financial Reporting and Oversight Control

EDUCATION: St. Johns University, Queens, New York

-Present M.B.A. Finance / Taxation - Jun 92

BSc. Accounting - Jan 89

FINRA Brokerage Licenses – Series 3, 7, 63, 24 and 27

Courses in Derivatives and Risk Management at NYIF

EXPERIENCE: Deutsche Bank, Jacksonville, Florida, June 2019- Present

VP – Regulatory Reporting

Managed the review, reporting and filing of the FOCUS report 15c3-1

Managed the review, reporting and filing of the Federal FR2004 Primary Dealer

Managed the review, reporting and filing of all Federal TICS reports and 17H filings

Automation and parallel testing of production reports using Alteryx

Updated Supervisory, Key Operating and Key Risk Indicator procedures

Supervised, trained and developed staff

BMO Capital Markets Corporation, New York, 2015 – 2019

VP – Head of Regulatory Reporting

Reviewed and managed the FOCUS Report 15c3-1 and Supplementary schedules: SIS, SSOI, OBS, Form Custody and Schedule 1 and the following: Non allowable assets, Securities Haircuts using Len Boles software, Fixed

Income – Treasuries, Corporate, Convertibles and Options, Operational Charges – Fails, Stock Borrow/Stock Loan, Repo/Reverse, Extended Settlement FINRA 4210, Underwriting, and FX Commodity Charges – IRS, TRS and CDX Swaps, OTC Options, Futures, Options on Futures, Forwards, WI and Maintenance Risk Margin

Reviewed and managed the Customer Reserve Calculation 15c3-3

Reviewed the Daily Net Capital Computation

Reviewed and presented the month end FOCUS variance package to

Senior Management

Assisted in the preparation of the Audited Financial Statement

Managed the FINRA, CME, Internal and external audits

Provided regulatory guidance on new and existing products

Managed, Trained and developed Regulatory Reporting staff

Major Accomplishments – Automated the stock record, FINRA AEP, and the

Customer Reserve Calculation. Designed the Extended Settlement

Charge Matrix. SOC 1 Testing on Len Boles and Loanet. Designed

and enhance controls for all regulatory processes. Responsible for

designing and reviewing controls around the amended SEC 17a-5 rule

RBC Capital Markets LLC, New York, 2003 – 2014

VP Regulatory Reporting

Prepared the FOCUS Report 15c3-1 and the following

Customer and PAB Reserve Calculation 15c3-3

Daily Net Capital Computation

CFTC Segregation, Secured and SIDR filings

Non Allowable Assets

Securities haircut using Len Boles Software

Operational Charges, Commodity Charges

Prepared and presented the month end FOCUS variance package to

Senior Management

Managed FINRA, CME, External and Internal audits

Provided Regulatory guidance on new and existing products

Assisted in the preparation of the Audited Financial Statement

Managed, trained and developed Regulatory Reporting staffs

Major Accomplishment – Instrumental in building the Regulatory

Department and improved significantly the control environment

Public Accounting – 1999 – 2003

Senior Auditor, KPMG, Orlando, Florida

Planning, test work, wrap-up and financial statement preparation and disclosure for full scope audits, reviews, compilation and other attest engagements for public and non-public companies

Cantor Fitzgerald Securities, New York, 1997 – 1999

Manager Regulatory Reporting

Prepared the FOCUS Report 15c3-1 and the following

Customer Reserve 15c3-3

Net Capital Computation

Securities haircuts and operation charges

Balance Sheet and P/L analysis

Assisted in the preparation of the Audited Financial Statement

Fidelity Investments, New York, 1993 – 1997

Senior Management Control Analyst

Prepared sections of the FOCUS report 15c3-1

Prepared sections of the Customer and PAB Reserve Calculation 15c3-3

Calculation of securities haircut and operation charges

Analysis and risk exposure of the different brokerage departments

President Medal for contributing cost cutting recommendations

Credit Lyonnais Securities, New York, 1989 – 1993

Assistant Controller

Monthly closing entries, Balance Sheet, Income Statement and Cash Flow analysis

Assisted in the preparation of the Audited Financial Statement

Prepared the FOCUS report 15c3-1

Calculation of operational charges

Calculation of securities haircut

Prepared non allowable schedule

Contact this candidate