RCS Capital Corporation / AR CapitalVice President and Controller │ Accounting and Finance Department Build-out │ Rapid Growth
Jan. 2013 - Dec. 2016Greater PhiladelphiaFollowing successful spin-off from ARC, recruited to join RSC Capital Corporation, new public entity, as Vice President/Controller in 2013 to again build accounting and finance department for RCS as a standalone public entity. Maintained full responsibility for monthly, quarterly and annual workpapers and financials for seven separate and distinct entities including receivables, payables and depreciation. From 2013 to 2016, company grew from 400 to 2,000 people nationwide. Oversaw and sustained a strong internal control environment through development and implementation of key policies and procedures, ensured full compliance with FINRA regulations. RCS Capital Corp was a brokerage firm with $3B in assets. SEC Filing
Led cross-functional team in drafting and filing of initial prospectus, initial 10Q (Q2, 2013) and subsequent press releases upon AR Capital taking Broker Dealer public (RCAP). System Enhancement
Separated and enhanced existing MRI system with implementation of Hyperion to effectively manage acquisitions and subsequent consolidations. Efficiency
Reduced close from 11 days to five days, passed all audits, and consistently achieved net capital. SOX Integration
Played an integral role in integration of Sarbanes-Oxley (SOX). Technology Upgrade
Key player in the implementation of automated wholesaler compensation software. FINRA
Ensured proper tracking of expenses for each product sold in compliance with FINRA rules and regulations. Audits
Audited daily investments including shares, gross proceeds, commission revenue and expenses, and helped external auditors (GAAP, FINRA, and SEC). Collaborations
Cultivated productive relationships with CFOs and external controllers. Team Leadership
Hired, trained, and mentored team including Dealer Manager personnel, Senior Accountant, Assistant Controller, AR Specialist, two Staff Accountants, and co-op and temporary hires. Exit Preparation
Managed financial/accounting aspects of RCS reorganization in 2016.