Business Partner Regulatory Reporting

Thomas Alburtus

www.linkedin.com/in/thomas-alburtus-albie77 *********@***.*** 732-***-**** Ocean Grove, NJ

Finance Executive

Senior Finance Leader with an accomplished record of managing change, fostering growth, establishing company vision and executing operating strategies. Successfully supported growth from (dollars-dollars) without zero additional finance & accounting headcount, driving lean expansion. Collaborated on and negotiated acquisition of Albert Fried & Company, LLC by TD Holdings U.S.A., Inc., and leading financial transition as a strategic business partner. Expertise Includes:

+ Financial Management + Regulatory Reporting + Strategic Planning + Investment Services

+ Analysis & Reporting + P&L Ownership + Accounting Policies + Financial Statements

Professional Summary

Finance Director TD Prime Services LLC Jan 2017-Jun 2018

Engaged in change management to transition financial functions from Albert Fried & Co. during acquisition by Toronto Dominion Holdings U.S.A., advised the TD Bank Group to ensure accurate flow and analysis of data.

Managed financial and regulatory reporting, specializing in prime brokerage and securities lending; oversaw FINRA regulatory examinations and annual financial statement preparation/audit.

Advised Director of Operations on back office personnel and systems management issues; steered accurate flow through of operational balances into GL accounting system/records.

Liaison between financial and regulatory area and securities lending and prime broker front office groups; brought thought leadership to strategic/developmental projects.

Chief Financial Officer Albert Fried & Company, LLC May 2001-Jan 2017

Directed financial, regulatory, tax, banking, payroll, and human resource functions for self-clearing securities brokerage firm, specializing in proprietary trading, prime brokerage, institutional execution, NYSE floor execution, correspondent clearance, and securities lending; 1 of 3 General Principals guiding firm direction.

Oversaw firm’s profitable growth (from $2MM revenue to $20MM, 15 employees to 50), with no addition to accounting & finance staff; led and coached finance team through daily workflow, period closes, and project management.

Developed a high deductible medical insurance plan saving $300K/year while enhancing insurance coverage.

Integral collaborator on conversion to SunGard-Phase service bureau environment along with all ongoing systems management and maintenance; ensured proper controls for financial systems and infrastructure.

Optimized tax returns/tax planning of high net worth partners and other LLC Partnerships.

Key negotiator on company purchase by Toronto Dominion Holdings U.S.A. Alongside handling all financial, tax, regulatory, and human resource legacy documentation; facilitated due-diligence and planned financial integration.

Earlier Experience

Finance & Operations Manager at GFI Group: Managed equity and asset-backed operations group serving institutional and inter broker-dealer execution desks. Oversaw regulatory filings, financial system integrations.

Proprietor/Consultant: Offered advice on regulatory and financial reporting, bridging gaps between departments (accounting, IT, operations). Consulted on and prepared small business and individual tax returns.

Associate Director at Bear Stearns: Helped direct and coach clearance accounting department consisting of 4 managers and 40 accountants. Owned corporate-level P&L closing. Partner on strategic management team.

Controller at Tucker Anthony Inc.: Owned all financial & regulatory functions, managing a staff of 25. Oversaw firm growth into national organization with expanded trading and investment banking. Facilitated acquisitions/conversions including conversions from self-clearing to introducing broker with The Wexford Clearing Company. OBM Associates, LLC: Local CPA firm wit over 2,000 clients, ranging from 1040's, schedule C's, E's. Multi LLC's, S-Corps, C-Corps. Additional forensic accounting, various Quickbooks & payroll support and overall consulting. Proprietary Business Operate a business with approximately 100 clients with services that include tax preparation & consulting, payroll preparation, general ledger/financial statement preparation & general business consulting.

Education & Professional Development

B.A. in Business Management, Graduate Course in Taxation Monmouth University, West Long Branch, NJ

Registered Securities Principal, Series 7,24,27 & 63 Licenses; Member of the National Society of Tax Preparers

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