Experience

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  CBOE

  • Greater Chicago Area

  • Supervisor

    • Nov 1999 - Present
    • Greater Chicago Area

    Supervised a staff of five to verify the compliance of member firms with Generally Accepted Accounting Principles and governmental regulations. Developed and presented extensive verbal and written reports to senior management.Developed and improved the departmental auditing program.Participated in the Regulatory Division’s Regulatory Interpretation Group.Improved efficiency through participation in a coordinated joint audit program with FINRA and the Chicago Mercantile Exchange.Implemented a departmental budgetary process that improved the department’s monthly budgetary projections resulting in a more efficient use of Exchange funds.Initiated a training program for auditing staff, which improved consistency and productivity.Participated in a training program for new member Exchange members to acquaint the members with compliance, accounting and record keeping requirements.

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  Department of Housing and Urban Development

  • Greater Chicago Area

  • Assistant District Inspector General

    • Sep 1992 - Oct 1999
    • Greater Chicago Area

    Supervised a staff of nine in carrying out the day-to-day audit operations within the District including providing directions, assigning staff, and ensuring audit work met the Districts standards.Responsible for resolving complex audit issues and approving audit programs for each audit supervised.Represented the District Inspector General at exit conferences with auditee’s and at program and policy meetings with District Management.Coordinated auditing assignments and evaluated auditing assignments to bring programs in balance with staff and funding capabilities.Prepared Inspector General Subpoenas for District Inspector General’s signature.Coordinated a number of audits, which concerned particularly sensitive issues and required working closely with the U.S. Attorney’s Office.Conducted seminars for CPA and State organizations on the requirements of the Single Audit Act and HUD’s Consolidated Audit Guide.

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  Checkers, Simon & Rosner

  • Greater Chicago Area

  • Senior Auditor

    • Jul 1991 - Aug 1992
    • Greater Chicago Area

    Planned and performed audits of client’s financial records under Generally Accepted Auditing Standards.Prepared Federal and State tax returns for clients. Advised clients regarding tax matters.Trained and reviewed subordinates work as the In-Charge Auditor.Solicited new business for the Firm.Participated in bank and savings and loan reorganizations for the Resolution Trust Corporation.Assisted in the preparation of AICPA Broker-Dealer Guide on the operations and record keeping requirements of exchange-traded options.