finop controller resume example with 20+ years of experience

(555) 432-1000,
Montgomery Street, San Francisco, CA 94105
Hands-on manager with an extensive background in compliance, accounting, operations, financial systems, risk control and, special projects. Broad experiences in buy/sell side investment institutions. Products include: Hedge funds, treasuries and agencies, municipals, repos and reverses, mortgage backs, financial futures and options, swaps, currencies, domestic and foreign corporate bonds, and various other products.
  • Guest services
  • Inventory control procedures
  • Merchandising expertise
  • Loss prevention
  • Cash register operations
  • Product promotions
Long Island University New York, Expected in M.B.A : Accounting and Finance - GPA :
City College of the CUNY , Expected in B.S : Economics and Statistics - GPA :
3Pillar Global - FINOP/Controller
, , -
  • Responsible for the financial activities of this specialist securities broker/dealer.
  • Principal activities include Equities, Options, Cash Management and Fixed-Income Securities.
  • Directly responsible for all budgeting, compliance, regulatory, financial, and cash management reporting.
  • Interact directly with attorneys, auditors, regulatory examiners, and Board of Directors.
  • Acted for seven years as trustee of the firm Employee 401(k) Savings Plan, was responsible for the administration of contributions, redemptions, roll-overs, and preparation of 5500-C/R reports.
  • Prepare and file annual audited SEC Rule 17a-5 report and monthly/quarterly FOCUS and other financial and regulatory reports.
  • Completed the brokerage firm's Sarbane-Oxley 404 internal control procedures and testing documentation.
  • Create and maintain all budgeting, management, commissions and trading reports.
  • Prepare weekly financial report to parent company and remain actively involved with all tax and financial filings made by pub.
3Pillar Global - Broker Dealer & RIA FINOP / Controller
, , 02/2008 - 03/2013
  • Responsible for all Financial and Operational control of both the General Securities Firm.
  • and state Registered Investment Advisor.
  • Manage firm wide financial , compliance and operational procedures and issues.
  • In charge of month - end closing of General Ledger and filing FOCUS reports and audited annual report to the SEC and FINRA.
  • Manage cash balances and propose cash transfers for cash management, funding of payroll accounts and capital contributions to comply with SEC requirements.
  • Managing cash forecasting and budgeting process and analyze variances to budget.
  • Computing monthly commission payouts to brokers.
  • Audits the firm's branches' operations , financial and compliance systems annually.
  • Working with General Counsel and external lawyers in dealing with SEC and FINRA audits and prepare responses to FINRA relating to all financial and regulatory issues such as net capital computation and AML procedures.
  • Along with firm General Counsel , timely updates the firm's WSP accor.
Chromalloy Gas Turbine - Broker Dealer/RIA
, , 06/2006 - 11/2007
  • An affiliate of Rochdale Investment.
Glen Rauch Securities, Inc - FINOP/Controller
, , 09/1995 - 06/2006
  • Responsible for the financial control and reporting of affiliated entities which include RIA, Broker Dealer and Insurance Agency.
  • Analyze records of financial transactions; record the transactions in the accounting system, MAS 90.
  • Ensure transactions are properly supported, in accordance with pertinent policies and procedures and GAAP.
  • Provide explanations of composition of financial statement line items and variances to budget.
  • Analyze systems of internal control and document revenue cycles.
  • Prepare monthly management reports and business analysis to Symphonic CEO.
  • Work closely with Client Service and Operations Staff to ensure properly recorded financial data.
  • Monitor cash balances and propose cash transfers for monthly payment of Intercompany balances and funding payroll accounts and cash management.
  • File quarterly FOCUS reports for Symphonic Securities.
  • and undertaking Special projects and various finance assignments for Symphonic's affiliates and subsidiaries.
  • e.g.
  • Projections of Fi.
Spectrum Trading Partners L.P - Assistant Controller
, , 02/1992 - 05/1995
  • Produce daily P&L reports for options volatilities, pairs and convertible arbitrage trading for this pioneer hedge fund, investors include George Soros and Bear Stearns.
  • Prepare daily net capital reports and monthly haircut schedules.
  • Produce supporting tax schedules and review tax filings made by public accounting firm.
  • Maintain general ledger systems and file FOCUS reports for various Broker/Dealers operated by the general partner.
London & Bishopsgate International, Inc - Assistant Controller
, , 02/1990 - 01/1992
  • Prepared and filed monthly/quarterly FOCUS and other financial and regulatory reports.
  • Prepared daily P&L reports for proprietary trading in international currency, bond, equity, and commodity markets.
Equitable Capital Management Corp Alliance Capit - Senior Accountant
, , 03/1986 - 01/1990
  • Prepared and filed quarterly reports and semi-annual financial reports for Equitables' largest mutual fund - Hudson River Trust.
  • Reviewed and supervised staff accountant's financial reports.
Additional Information
  • Licenses Series 4 - Options Principal Series 7 - General Securities Representative Series 24 - General Securities Principal Series 27 - Financial and Operations Principal Series 63 - Uniform Securities Agent State Series 79 -- Investment Banking Representative Series 99 -- Operations Professional

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Resume Overview

School Attended

  • Long Island University
  • City College of the CUNY

Job Titles Held:

  • FINOP/Controller
  • Broker Dealer & RIA FINOP / Controller
  • Broker Dealer/RIA
  • FINOP/Controller
  • Assistant Controller
  • Assistant Controller
  • Senior Accountant


  • M.B.A
  • B.S

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