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Management Project

Levittown, NY
August 19, 2012

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*** ********* **** • New Canaan, CT 06840 • C: 917-***-**** •

Financial executive with track record of engineering creative and practical solutions for growth and profitability. Ability to manage broad range of financial, technology, operational and administrative support functions for hedge fund, banking and capital markets businesses. Specialized in the use of technology to enhance operational efficiency. Skilled at managing dynamic environments that include mergers, new product launches and corporate restructurings. CPA proficient with accounting and reporting standards and, internal control systems Demonstrated broad based strengths in:

Strategic Planning / Budgeting Merger Integration Private Equity Funds

Banking / Securities Operations Risk Management Process Reengineering

IT Infrastructure / Integration New Product Launches Vendor Management / Negotiations

Corporate Restructuring Business Continuity Planning Facilities Administration

Finance, Accounting & Taxation Regulatory Relations Crisis Management/Public Relations


Penton Learning Systems, New York, NY 2011 - Present

Head of Global Technology & Integration – For Global producer of business conferences with 1200 employees in 8 countries across the globe. Managed a team of more than 35 providing IT infrastructure support, managing our web operations, design and development and, management of our customer relationship management system. Responsible for integrating separately managed teams in to a cohesive technology team resulting in improved service to users, and a 20 % reduction in costs. Other major accomplishments included the completion of a content management system that was 2 years behind schedule through the application of disciplined project management techniques, creation of an integrated data model for our web applications and CRM system and, transparent budgeting and reporting for technology costs.

True North Partners LLC, Suffern, NY 2007 – 2010

Chief Financial & Compliance Officer – for hedge funds with $800 million assets under management, 4 master feeder funds and 10 managed accounts. Strategies included equity market neutral and fixed income relative value. Key counterpart to principals for all non-investment matters. Responsible for management company finances, including taxes, cash flow and compliance.

• Full responsibility for day-to-day management of firm, including operations, investor services, management of outside service providers, administration, cash management, legal and regulatory matters.

• Completed registration as an SEC registered investment advisor and a Commodity Trading Advisor with the NFA.

• Implemented compliance program, including preparation of manuals, implementation of a code of ethics, employee investment policy, procedures manual and compliance checklist.

• Prepare daily P&L’s used for daily and weekly distributions to investors and liaise with prime brokers to resolve trade differences.

• Prepare weekly NAV’s and supervise monthly NAV’s prepared by our Administrator.

• Performed search for, and retained new auditor.

• Retained a new administrator for our funds.

• Participated in investor due diligence meetings and preparation of due diligence questionnaires.

• Negotiated managed account agreements with investors.

• Coordinated all external audits and the preparation of all tax returns.

HVB GROUP (Member UniCredit Group), New York, NY 1997 – 2006

Managing Director and Chief Operations Officer – COO for the US operations of the sixth-largest European bank. Full responsibility for Finance, Operations, Technology, Administration, Risk Control, and Business Continuity Planning. Member of Management Committee. Facilitated business expansion in a controlled and efficient manner by implementing state-of-the-art integrated technology platform and related process reengineering which improved MIS and reduced operational risk.

• Upgraded Loan Servicing, Money Market, and FX operations; implemented Straight Through Processing, increasing efficiency. $500k investment paid back in 6 months through reduced overtime. Processing capacity increased by 300% with no increase in headcount.

• Attained $60 million in tax savings; preserved ability to use NOL’s through the reorganization of corporate structures.

• Led integration teams for two successful mergers; achieved synergies by eliminating redundant facilities, migrating to a common accounting and reporting platform and harmonizing operational systems and processes.

• Implemented Algorithmics market risk-management system; provided an enhanced risk management infrastructure allowing the bank to reduce its risk limits by 40% thereby reducing the bank’s risk capital requirements and facilitating regulatory compliance.

• Streamlined accounting and reporting processes; improved the timeliness of the monthly closing process by 20% through the implementation of a new general ledger system for 50+ entities; developed user requirements and conducted rigorous RFP process.

• Reduced payment processing costs by more than 80% and saved in excess of $3 million; reduced operational and liquidity risk by leading global project to outsource dollar payments; project included liquidity risk assessment, capacity evaluation, and contract negotiations.

• Minimized adverse impact to HVB’s reputation and financial results; skillfully managed the response to a sensitive investigation of its tax shelter financing activities. Retained outside counsel and PR advisors, briefed Board members; prepared and managed Congressional testimony and negotiated settlement with the government.

• Created and executed business continuity plan that proved successful during two midday business interruptions; established recovery site facility and provided necessary training.

• Successfully orchestrated downsizing of real estate lending business; managed the sale and financing of assets and the transfer of personnel and facilities which allowed the bank to complete a global spin-off of Real Estate operations necessary to complete a recapitalization plan and maintain satisfactory credit rating.

• Completed $30 million design/build-out project on time and within budget; project involved 120,000 sq. ft. of office space and technology infrastructure.

S.G. WARBURG INC., New York, NY 1988 – 1996

Executive Director, Finance and Control – For the US operations of UK Merchant Bank. Assumed full controllership functions, focusing on management reporting, budgeting, taxation, and financial systems. Hired as Vice President / Controller of SGW to support the expansion of SGW’s business in the US. Promoted in 1993 with expanded responsibility for Credit and Treasury. Managed staff of 35.


Vice President of External and Regulatory Reporting – Led monthly global consolidation of financial statements and prepared audited financial statements for annual report to shareholders, as well as 10-Ks. Promoted to Vice President in 18 months; assumed additional responsibility for broker dealer regulatory reporting. Directed 15-member team.

Prior positions from 1978 – 1985 with increasing responsibility included Senior Auditor with PRICEWATERHOUSE, Senior Accounting Analyst with UNION PACIFIC CORP. Strong focus on accounting principles, internal controls and financial statement preparation and Manager of Financial Reporting and Analysis with PaineWebber focusing on SEC, Broker Dealer regulatory reporting and ERISA reporting.


BA, Business Administration, Cum Laude, St. Michael’s College, Winooski Park, VT, 1978

Certified Public Accountant (Connecticut)

NASD Financial and Operations Principal - Inactive (Series 27)


American Institute of Certified Public Accountants

Connecticut State Society of Certified Public Accountants

Board Member: Reading Excellence and Discovery Foundation


“Infrastructure Integration.” Information Week, (July 2005)

Case Study Presentation: HVB’s Success in Application Integration

Gartner Application Integration Summit (December 2005)

Study: Leveraging BPN in Uniting People, Processes, and Technology

Business Process Management Institute Conference (April 2005)

Recipient of CIO Magazine’s 2005 “CIO Bold 100” Award for excellence in IT achievements that generate competitive advantage.

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