Accountant

Senior Accountant

• Mar 2016 - Present

FINOP/accounting for Broker-Dealer clients including preparation of financial statements, FOCUS reports and other compliance issues. Accounting for traders and hedge funds. Various ad-hoc tax/audit related assignments. FINOP/accounting for Broker-Dealer clients including preparation of financial statements, FOCUS reports and other compliance issues. Accounting for traders and hedge funds. Various ad-hoc tax/audit related assignments.

Accountant

• Jun 2012 - Feb 2016

FINOP/accounting for Broker-Dealer clients including preparation of financial statements, FOCUS reports and other compliance issues. Accounting for traders and hedge funds. Various ad-hoc tax/audit related assignments. FINOP/accounting for Broker-Dealer clients including preparation of financial statements, FOCUS reports and other compliance issues. Accounting for traders and hedge funds. Various ad-hoc tax/audit related assignments.

Staff Auditor

• Jan 2010 - May 2012

Audit the financial statements of Broker/Dealers, Investment companies, and SEC filers. Audit the financial statements of Broker/Dealers, Investment companies, and SEC filers.

AUDITOR

• Jun 2007 - Jan 2010

· Review client accounting and operating procedures and systems of internal control. · Perform accounting and auditing functions on engagements. · Participate in pre-audit planning and assist with planning for audit engagements. · Assist in preparation of SEC reporting · Coordinate a transition to a paperless engagement function. · Review client accounting and operating procedures and systems of internal control. · Perform accounting and auditing functions on engagements. · Participate in pre-audit planning and assist with planning for audit engagements. · Assist in preparation of SEC reporting · Coordinate a transition to a paperless engagement function.

ACCOUNTANT

• May 2007 - Jun 2007

· Responsible for transitioning two larger Broker Dealers into the firm. · Coordinate firm payroll and producers' commission payouts. · Perform month end accruals and reconciliations. · Prepare and file regulatory reporting (FOCUS, etc.) · Produce various budget and expense analysis reports. · Responsible for transitioning two larger Broker Dealers into the firm. · Coordinate firm payroll and producers' commission payouts. · Perform month end accruals and reconciliations. · Prepare and file regulatory reporting (FOCUS, etc.) · Produce various budget and expense analysis reports.

ACCOUNTANT ­ FINANCIAL OPERATIONS PRINCIPAL

• Sep 2003 - Apr 2007

· Responsible for daily bookkeeping: payables, receivables, and invoicing. · Perform trade reconciliations and maintained the trading database. · Coordinate firm payroll and producers' commission payouts. · Prepare and file regulatory reporting (600TC, FOCUS, etc.) as well as IRS tax forms (1099-Misc, W-2 Forms). · Produce various budget and expense analysis reports. · Responsible for daily bookkeeping: payables, receivables, and invoicing. · Perform trade reconciliations and maintained the trading database. · Coordinate firm payroll and producers' commission payouts. · Prepare and file regulatory reporting (600TC, FOCUS, etc.) as well as IRS tax forms (1099-Misc, W-2 Forms). · Produce various budget and expense analysis reports.

ASSISTANT TREASURER

• Jun 1998 - Aug 2003

· Supervisor of state tax reporting operations for the Benefits Disbursements Department. · Coordinated tax reporting including quarterly and year-end federal and state filings (945, 1099-R, W-2, etc.). · Instituted network based central file repository for tax files and documents, including a new scanned documents archive. · Transitioned the department from manual withholding deposits to electronic (ACH) remittance and filing. · Responsible for reconciling withholding general ledger, tax trust accounts, and tax databases. · Authorized signer for bank transactions up to one million dollars. · Resolved tax inquiries with the IRS and various state agencies regarding late payment and failure to file notices. · Created a problem-resolution database to track and quantify tax inquiries and staff efficiency. · Provided answers and support on tax issues to Benefits Disbursement and Master Trust/Custody areas. · Tested and documented new procedures, system upgrades, and tax law changes on the Omnipay and the FLS payroll systems. Show less

SENIOR IRA/CUSTOMER TAX ANALYST

• May 1993 - Jul 1998

· Responsible for Federal (TEFRA, ERISA), State, and NRA Withholding. · Issued 1099 Combined (DIV, INT, OID, and B) forms, NRA (1042-S) forms, and IRA (1099-R, 5498) reporting forms. · Handled 1099-Misc, 990-T, and 2439 forms reporting. · Participated in daily operations of IRA department including transfers, rollovers, and distributions. · Supported Investment Executives in IRA/Tax matters. · Provided customer support to clients on tax forms and IRA issues. · Developed and revised spreadsheets, presentations, and forms for the IRA/Customer Tax Department and the Operations Management Department (including billing/charge matrices, productivity reports, and analysis charts). · Consulted on conversion of internal systems to BETA Systems. Show less