Financial Analyst Project

James Zhan, MS/MBA

Professional Experience:

BJ’s Wholesale Club, Inc., Westborough, MA (Remote) 02/2021 – Present

Director, Financial/SEC Reporting and Technical Accounting, Finance Department

• All SEC-Filings (10-Ks, 10-Qs, 8-Ks, and etc.) and Compliance. U.S. GAAP and Regulatory Reporting. Earnings Release.

Technical Accounting Research and Implementation of new SEC Rules and FASB Pronouncements. Corporate Accounting

Memos on major transactions. Corporate Accounting Policies. U.S. GAAP Disclosure Checklist. Internal Audit/SOX 404

Compliance. XBRL. Revenue Recognition. Lease Accounting. CECL. LIBOR and Reference Rate Reform. Investment and Fair

Value Measurements. Mergers and Acquisitions. Business Combinations. Divestitures and Discontinued Operations.

Restructuring. Benefit Accounting and Disclosures. Corporate Accounting. Global Consolidations. Month-End Close

Process. Process Improvements. New systems implementation. W-Desk (Workiva/Web-Filing). RDG. SAP.

ZOOMINFO, Waltham, MA/Vancouver, WA (Remote) 07/2020 – 08/2020

Sr. Manager, Financial/SEC Reporting and Technical Accounting, Finance Department

• All SEC-Filings (10-Ks, 10-Qs, 8-Ks, and etc.) and Compliance. U.S. GAAP and Regulatory Reporting. Earnings Release.

Technical Accounting Research and Implementation of new SEC Rules and FASB Pronouncements. Corporate Accounting

Memos on major transactions. Corporate Accounting Policies. U.S. GAAP Disclosure Checklist. Internal Audit/SOX 404

Compliance. XBRL. Revenue Recognition. Lease Accounting. Investment and Fair Value Measurements. Mergers and

Acquisitions. Business Combinations. Divestitures and Discontinued Operations. Restructuring. Benefit Accounting and

Disclosures. Corporate Accounting. Global Consolidations. Month-End Close Process. Process Improvements. New systems

implementation. W-Desk (Workiva/Web-Filing). NetSuite.

CONSULTING/CONTRACT ROLES 01/2018 – 02/2020

ADP; Roseland, NJ; 12/2019-02/2020

SEC-Filing; Earnings Release; Technical Accounting; Accounting Policies; Regulatory Reporting; Internal Audit/SOX 404 Compliance; Revenue Recognition; Lease Accounting; IFRS; U.S. GAAP; Process Improvements; W-Desk (Workiva/Web-Filing).

Siemens/Corindus Robotics; Waltham, MA; 1/2019-2/2019

10-Q Filing; Earnings Release; Revenue Recognition; Lease Accounting; Financial Statements Preparations and Reporting; Accounting Policies; Process Improvements; SOX 404 Compliance; U.S. GAAP/IFRS; Equity Awards. Accounting/Reporting/Disclosures.

SeaChange; Acton, MA; 11/2018-12/2018

SEC-Filing; Earnings Release; Technical Accounting; SOX 404 Compliance; Equity Awards Accounting/Reporting/Disclosures; Consolidation/Closing/Financial Statements Preparations; Accounting Policies; ASC 606; ASC 842; IFRS; U.S. GAAP.

Schneider Electrics (French); Cambridge, MA; 2/2018-6/2018

Monthly Financial Statements/Reporting and Closing; Revenue Recognition; Lease Accounting; SOX 404 Compliance; Regulatory Reporting; Process Improvements; Legal Entity Reporting; IFRS; U.S. GAAP.

State Street Bank (Investment Bank); Boston, MA; 1/2018-2/2018

Consolidation and Prepared Financial Statements by U.S. GAAP and IFRS; Internal Audit/SOX 404 Compliance; Improved Business Process; Worked with external auditors; Regulatory Reporting; SEC-Filing; Technical Accounting.

ALERE INC., Waltham, MA 09/2013 – 12/2017

Sr. Manager, Financial Reporting and Technical Accounting, Finance Department

Leadership of a team of three-five Accounting Managers/Senior Accountants. All SEC-Filings (10-Ks, 10-Qs, 8-Ks, and etc.) and Compliance. U.S. GAAP and Regulatory Reporting. Technical Accounting Research and Implementation of new SEC Rules and FASB Pronouncements. Corporate Accounting Memos on major transactions. Corporate Accounting Policies. U.S. GAAP Disclosure Checklist. SOX 404 Compliance. XBRL. Revenue Recognition. Investment and Fair Value Measurements. Mergers and Acquisitions. Business Combinations. Divestitures and Discontinued Operations. Restructuring. Benefit Accounting and Disclosures. Corporate Accounting. Global Consolidations. Month-End Close Process. New systems implementation. Active-Disclosure (RRD). W-Desk (Workiva/Web-Filing). Oracle. SAP. Hyperion. HFM/SmartView. Equity Edge.

LAZARD FRERES & CO. LLC (Financial Services/Investment Bank), 30 Rockefeller Center (NBC), NYC, NY 04/2012 – 09/2013

Manager of SEC/Financial Reporting and Technical Accounting, Finance Department

Leadership of a team of two Senior Accountants. SEC 10-Ks and 10-Qs Filing. U.S. GAAP, Regulatory and STAT Reporting. Technical Accounting (FASB Accounting Standards Codification). Disclosure Checklist.

Research and evaluation on Development of New Accounting, Reporting and Regulatory Pronouncements by Governing Bodies (FASB and SEC) and implementation of New Disclosure Requirements. Develop Corporate Accounting Policies. Consolidation (Cognos TM1). XBRL (Cognos FSR).

Implementing Cognos TM1 and FSR, and reporting process improvement.

Demonstrated strong analytical, organizational, and project management skills and ability to drive decision making, facilitate changes and resolve issues diplomatically.

Possessed a track record of excellent performance, management and organization and people skills.

LORAL COMMUNICATIONS, NYC, NY 02/2012 – 04/2012

Senior XBRL/SEC-Filing Consultant, Finance Department

10-K Filing and XBRL Taxonomy Instance Document block and detailed tagging using Rivet.

Provided Sr. Management with insights regarding whether to adopt an existing UGT element or to create a customized extension element for a particular financial concept or item intended to disclose in the Financial Statements and Footnotes of the Company’s 10-K document. SEC and XBRL compliance requirements.

Demonstrated qualities of being extremely task-oriented, excellent written and oral communication skills, effective customer relationship, management skills, attention to details, and great teaming skills.

Demonstrated abilities of prioritization of multiple tasks to meet the Company’s deadlines.

Improved Client’s SEC-Filing and XBRL mapping and tagging process with enhanced efficiencies.

FINANCIAL ACCOUNTING STANDARDS BOARD (“FASB”), Norwalk, CT 04/2011 – 06/2011

XBRL Best Practice Review Associate Fellow, XBRL Project Team

Creation, development, implementation, maintenance, documentation of the 2012 U.S GAAP Financial Reporting Taxonomy.

Reviewed financial statements, general ledger accounts and footnotes included in the SEC filings (Instance Documents) of the Broker and Dealer companies and Banking institutions in the Financial Services industry as well as Real Estate (REITs) industry.

Evaluated XBRL Taxonomy extensions created by reporting entities in their filings with the SEC as well as the commonality of the extensions to the U.S. Taxonomy.

Assessed the extension tags in relation to the U.S. Accounting and Disclosure Standards (Codification) applicable to non-governmental entities.

Proposed tags for the U.S. Financial Reporting Taxonomy to replace the extension tags. Used multiple XBRL database systems including Yeti, Spider Monkey, Magnify, Consistency Suite, customized FASB Best Practice Analytics, Morning Star (10-K Wizard), and Ovitas Workflow. Cognos FSR, WebFiling and Rivet.

UNIVERSAL AMERICAN CORP. (Insurance/Financial Services), Rye Brook, NY 12/2007 – 02/2011

Senior Accountant/Functioned as Director of Financial Reporting, Finance Department

Leadership in projects and management of two Staff Accountants. SEC-filings (10-K, 10-Q, 8-K, 11-K, DEF 14A–Definitive Proxy Statement, and Form 4) in compliance with the U.S. GAAP and SEC Reporting Requirements.

Various regulatory bodies’ new accounting pronouncements interpretation and implementation.

Developed corporate accounting policies, standards and procedures in compliance with the FASB and SEC rules and regulations, SEC Comment Letters, complex accounting issues and principles.

Sarbanes-Oxley compliance. Migration to SEC’s required XBRL Platform. Press Release, Financial Supplemental Information posted on the Company’s Website.

Presentation of CFO and Board Reporting Package and Audit Committee Reporting Package. Insurance contracts Brokers and Dealers regulatory filings. STAT (Blue Book) and GAAP reports for the annual statements and quarterly filings.

Monthly closing and consolidation for Parent Company and 20 insurance subsidiaries. Financial controls of legal entities. Budgeting, planning and forecasting. Variance analysis. Business and SEC/financial reporting process improvement

Implementation and management of financial software database systems (TMI and Biznet). Benefit accounting and reporting of the Company’s employee stock-based compensation in the 10-Ks and 10-Qs disclosures.

EPS calculation. Executive Compensation in the Proxy Statement. Retirement Pension Defined Benefit Plans accounting and disclosures.

Worked closely with external auditing firm for the annual audit on the Financial Statements for the Company’s 401(K) Savings Plan and Retirement Pension Plan. Form 5500 filing. Regulatory and compliance audits with IRS and DOL. ERISA compliance.

Implemented and managed new stock reporting database systems. Ad-hoc projects. Worked closely with many other departments within the Company such as Legal, Internal Audit, Tax, HR/Benefit, Treasury, Investors Relations, and various business unit areas, as well as the Company’s external auditor (Ernst & Young), trustee for the benefit plans, and the actuary.

LEHMAN BROTHERS, NYC, NY 10/2006 – 12/2007

Senior Financial Accounting and Reporting Analyst, Finance/HR/Executive Compensation

Acting manager. Responsible for Equity-Based Employees Incentive Plan footnote disclosures in the SEC-filings (10-Qs and 10-Ks) and Executive Compensation in the Proxy Statement. Accounting and disclosure (10-Qs and 10-Ks) for pension and stock options and Corporate EPS calculation.

In charge of monthly FAS 123 (R) reporting package using OTC stock tracking system.

Presentation of Management Reports to Audit Committee and Board of Directors.

Responsible for monthly closing and consolidation of activities of restricted stocks and stock options.

In charge of financial control process of stock activities. Financial modeling to forecast forfeitures of awards and expenses of RSUs and stock options. Reengineered Compensation reporting processes. Managed stock awards database to ensure data integrity and responsible for reporting and analysis from OTC, Mourant and Planetarium systems, using PeopleSoft, Excel and Access applications.

Implemented and managed new stock tracking system and reporting software packages.

Coordinated internal and external auditors with corporate control (SOX 404) over Compensation and Benefit Programs including both administration and reporting fields.

Collected and organized data and prepared financial statements for benefit plan audits. Worked closely with record-keeper, trustee, actuaries, and auditors.

Hosted weekly update meetings with Senior Management. Ad-hoc projects.

Demonstrated strong communication and relationship management skills desired to balance needs of clients with those of corporate control and organization-wide consistency.

Built excellent relations with various client groups both in NYC and globally by providing them with accurate and timely reports to fulfill their regulatory reporting requirements.

REVLON, INC., NYC, NY 12/2003 – 09/2006

Senior Financial Analyst/Functioned as Manager of External Reporting, Finance Department

Managed projects and two Staff Accountants. SEC-filings (10-K, 10-Q, 8-K, 11-K, Proxy Statement, and Form 4) in compliance with GAAP and SEC Reporting Requirements. Technical accounting. Developed Company’s financial reporting and accounting policies.

Implementation of SOX. Press Release. Monthly reporting packages to Senior Management. Government regulatory reporting. Budgeting, planning and forecasting.

Month-end closing and consolidation of financial statements (Hyperion Enterprise & Essbase and Oracle). Variance analysis. Benefit accounting and disclosure.

Prepared Annual Financial Statements (11-Ks) for two 401(K) Saving Plans and three Retirement Pension Plans, and worked closely with two external auditing firms for the annual audit (March through October). Form 5500 filing and DOL audit. Controllership in special projects.

Worked closely with leaders of all Business Units and assisted them in preparing annual and quarterly budgets and forecasting, and conducted monthly meetings with them discussing the actual operating results compared with budgets.

Worked closely with Company’s external auditors (KPMG and Mitchell & Titus), Partners, two trustees for the benefit plans, and actuaries (Hewitt for domestic pension plans and Watson & Wyatt for international plans).

CENDANT CORPORATION, Parsippany, NJ 10/2003 – 12/2003

Oracle Financial Applications – Sr. Financial System Project Analyst, Corporate Finance

Built and assisted a world-class implementation team that would help to bring the Company’s multiple financial units onto a “single- installation” of the Oracle Financial applications suite.

Supported competing business requirements on Oracle Financial applications with a clear understanding of the required intricacies.

Consulted on projects that would require use of industry, technical and creative skills.

TD BANK (formerly POUGHKEEPSIE SAVINGS BANK, HUBCO, INC., PEOPLE’S HERITAGE FINANCIAL 06/1997 – 06/2001

GROUP, INC., and TD BANKNORTH GROUP, INC. - Multi-Bank Holding Company and Financial

Services Institutions), Portland, ME

Senior Financial Analyst/Accounting Officer, Finance Department

Supervised one Staff Accountant. SEC-filings (10-Q, 10-K, 8-K, 11-K, Proxy Statement, and Form 4). Technical accounting. Press Release.

Prepared regulatory reports for subsidiary banks, including Call Report to the FDIC and TFR/CMR to OTS. Prepared regulatory reports for Broker and Dealer Services Department and Real Estate (REITs) Department.

Responsible for accounting and reporting for banking lending products such as loans, guarantees and various financial instruments.

Prepared monthly consolidated financial statements to the Board of Directors using Hyperion.

Maintained G/L including intercompany accounting and eliminations, monthly closing and consolidation of financial statements.

Budgeting and Management reporting. Benefit accounting and disclosure. Annual financial statements audit for Employee Benefit Plans.

Prepared stock-based compensation and pension disclosures.

Implemented and managed financial accounting database system/financial reporting software (Hyperion, EIS and LEX 2000 for Windows).

Supported bank merger and acquisition process in regard to bank system conversion.

Assisted Bank Controller with fulfilling accounting/reporting requirements for bank mergers and acquisitions.

Education:

MARIST COLLEGE, Poughkeepsie, NY

M.S. Computer Science/Management Information System (Incomplete), August 1998 (Earned 61 credit hours of a required total of 122 credit hours); GPA: 3.75/4.00

THE COLLEGE OF ST. ROSE, Albany, NY

M.S. Accounting (Equivalent Credits for an MBA Degree), August 1997; GPA: 3.75/4.00; Activity: Member of the Institute of Management Accountants; Honor: Presidential Scholarship, 1996 – 1997

B.S. Business Administration/Accounting, May 1995; GPA: 3.78/4.00; Honors: Magna Cum Laude; Sophomore Award for Outstanding Academic Achievement, 1994; Dean’s List/Presidential Scholarship, 1992 - 1994

SHANGHAI INTERNATIONAL STUDIES UNIVERSITY, Shanghai, China

B.A. American/British English Linguistics/Language and Literature, Sept. 1988 - July 1991 (Transferred); GPA: 4.00/4.00

Computer Skills:

Strong PC skills in Windows environment. Proficient with Microsoft Office Suite (Excel, Access, Word, PowerPoint, and Outlook).

Proficient with Financial Reporting and Query Software such as LEX 2000, Hyperion (Enterprise & Essbase), EIS, Olympics, Cartesis Carat, OTS Reporter for Windows, Data Warehouse, Oracle, Business Objects, PeopleSoft, Sungard’s EAS, Biznet, TMI, TeraData, Brio Intelligence, Cognos TM1 and FSR, HFM SmartView, and SAP.

Experienced with a variety of accounting information systems, banking software, database systems to run general ledger, fixed assets, accounts payable, loans, and deposits, such as ODIN, MISER, Kirchman Dimension 3000, Wincoins, PeopleSoft, Sungard’s EAS, Biznet, TMI, and SAP.

Familiar with IBM, Macintosh and UNIX computer systems.

Implemented and managed software packages for share-based employees’ compensation (Stock Options and Restricted Stocks), such as database systems of Equity Plan Solutions by AST, Sapphire by Smith Barney and Equity Edge by E-trade, prior to and after the adoption of FAS 123 (R).

Experienced with OTC, Mourant and Planetarium Stock Tracking Systems and Reporting Software Packages.

Training:

Financial Reporting Software including LEX 2000, Hyperion for Windows, EIS, Oracle, and Business Objects.

SEC Reporting/Compliance Seminars by KPMG and Bank Accounting Seminars by BAI in NYC.

Financial Database Systems Management under M.S. Degree Program in CS/MIS at Marist College, Poughkeepsie, NY.

Data Management and Reporting Courses (Cartesis Carat) by Unilever Corporate Center in London.

Advanced Excel Macro training session by Lehman Brothers in NYC.

Insurance Industry Seminar and Training (Accounting and Reporting) by KPMG in NYC.

Stock-Based Compensation Accounting and Disclosure FAS 123 (R) training by KPMG in NYC.

Cash Flow Statement training by KPMG in NYC.

Cognos TM1 and FSR, Oracke, HFM SmartView, SAP, and Equity Edge.

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