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Work Background
Open to opportunities - Banking | Investment Services | Financial Services Seeking Corporate Controller | Director of Accounting | FINOP | Fractional CFO
Oct. 2024As an experienced accounting and finance leader, I leverage my expertise in accounting, finance, strategy and M&A to help mission-driven organizations balance vision and profitability with hands-on execution that delivers strong ROI to corporate boards and owners. I specialize in financial operations, financial and regulatory reporting in accordance with GAAP, SEC and regulatory requirements, budgeting, revenue growth strategy; managing financial and regulatory audits, advise on a financial and corporate range of crises such as regulatory exam remediations and global market downturns.
Confidential Broker-Dealer Consulting Start-upInterim CFO
Jan. 2019 - Jul. 2020Pleasant Hill, California, United StatesEngaged by founder to help form and position consultancy serving start-up broker-dealers—applying financial markets expertise, regulatory and financial operations set-up, and governance modeling to help company principles with business set-up. Provided a range of consulting services to five core clients, ranging from approval requirements and formation matters (e.g., compliance, financial operations) to technology and process implementation. Included contract review, business model assessment, product type and mix, in-house vs. outsourcing capabilities, vendor selection, as well as related regulatory research (e.g., FINRA, SEC).
Robert Half Management ResourcesExecutive Financial Services Consultant | Banking, Broker-Dealer
Oct. 2016 - Dec. 2018San Francisco, CA and Phoenix, AZContracted for senior-level management experience—advising companies in building financial processes, creating and revitalizing finance and accounting procedures, reinforcing regulatory compliance, and transferring industry knowledge to internal leaders and team members. Highlights: THE ADVISOR GROUP, Broker-Dealer Consultant
Assessed and recommended internal procedures (e.g., SOP, internal audit, regulatory compliance), formalized documentation, supported financial audit, and reinforced contract processes (e.g., billing, commissions). MUFG UNION BANK, Project Manager, Regulatory Reporting Production
Contracted to manage regulatory reporting production cycle for 10 MUFG entities. Retained on to implement Enhancement Prudential Standards (EPS) Phase 2. Project management included EPS compliance documentation and rollout, entity restructuring, user acceptance testing (UAT) oversight, and reporting applicability research. Oversaw analysis and change management related to new regulatory changes.
Essex National Securities Inc d/b/a ENSIController / Financial & Operations Principal
Jan. 2006 - Aug. 2016Napa, California, United StatesEssex National Securities, LLC (ENSI) provides custom, full-service brokerage solutions for banks and credit unions. A member of FINRA and SIPC. -------------------------------------
Recruited back to direct accounting department for parent company, broker-dealer and seven insurance subsidiaries, serving institutions with assets up to $12B. Managed more than twenty clearing accounts with Pershing, LLC, and monitored cash activity related to operational accounts / NSCC, with leadership spanning finance department and team development, corporate restructuring and contributions to the development of a proprietary software used today by 500+ users. Tenure highlights include partnering on due diligence for new ownership structures; reimagining and modernizing accounting practices and controls for company under new ownership; and improving closing schedules and client reporting times through process improvements and automation.
First Collateral Services(Citigroup)Project Manager for Internal Audit & SOX 404
Jan. 2005 - Dec. 2006Concord, California, United StatesWarehouse lending for CitiMortgage, extending LOC to home loan originators. -------------------------------------
Contracted to re-engineer and launch SOX 404 compliance and internal audit procedures on 13-month engagement for $4B LOC lending subsidiary of Citigroup. Served on 10-member SOX Steering Committee, assembled COSO-compliant recommendations and coordinated cross-functional activities of 20 members of the First Collateral and Citigroup internal audit departments
Wells FargoVice President, Controller / Financial & Operations Principal
Jan. 2004 - Dec. 2005San Francisco, California, United StatesAdvisory services spanning M&A, private placements, and debt / equity capital raising.
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Recruited to oversee monthly, quarterly and annual financial statement issuance and regulatory filings. Monitored syndication income and supervised preparation of bonus pool calculations and trading force. Managed 3-member team on 2-day month-end close; completed SEC audit with zero infringements; and analyzed balance sheet, P&L, cash flows and trading accounts with Bear Sterns.
Essex CorporationController, Treasurer & Financial Principal
Jan. 2000 - Dec. 2003San Francisco Bay AreaCustom full-service brokerage solutions for banks. -------------------------------------
Recruited to create and manage accounting function for broker-dealer and 15 insurance agencies facilitating the sale of annuities and life insurance products to retail customers across five U.S. regions. Activities included building from scratch a 10-member Bay Area-based finance department / accounting team (previously centered in Manhattan)—creating policies and procedures while managing timely close of all entities and issuance of contractually obligated client financial statements as well as contributions to an 8-member team’s development of a proprietary IT system.
Bisys Brokerage Services, Inc.Division Controller | Controller | Accounting Manager
Jan. 1995 - Dec. 2000San Francisco Bay AreaSelf-clearing broker-dealer / trading platform clearing transactions for 1,200+ mutual funds. -------------------------------------
Hired to manage accounting and trade settlement of self-clearing broker-dealer serving 1,200 mutual fund companies with 4,000 trade settlements across 80 banking clients. Management spanned seven entities including two broker-dealers (one clearing, one introducing). Oversaw trade settlement cash management for client institutions reflecting billions in 401(k) funds. Supervised treasury and accounting functions, monthly and yearly financial reporting, A/P, A/R and cash flows; and customer funds cash management and regulatory reporting. Calculated weekly customer cash reserve requirements under SEC Rule 15c3-3. Outcomes included expanding accounting department to six people accommodating firm’s growth, and working with a 3-member in-house / consultant team to upgrade G/L systems from DOS to Windows as well as local to corporate WAN reporting. ALL POSITIONS at BISYS (formerly CoreLink Resources, Inc.)
Division Controller (7/98-1/00)
Controller (MM/96-7/98)
Accounting Manager (9/95-9/96)
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