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Senior Public Accountant Resume Example

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SENIOR PUBLIC ACCOUNTANT
Professional Summary
Dedicated financial service professional with extensive experience in Asset Management focusing on aligning goals with business objectives to drive results. My value proposition is leveraging my broad industry knowledge along with my diverse financial experience, to further my commitment to providing the highest level of service. I am an innovative, assertive, and analytical professional who focuses on industry best practices and how to efficiently maximize results in current work environments. Strategic Asset Management leader with expert qualifications within the financial service industry. Success in: *Accounting *Compliance *Fund Administration *Financial Reporting and Analysis *Project Management *Risk Management *Pricing and Liquidity *Investment Guideline Testing
Skills
Charles River, SharePoint, Sentinel Latent- Zero, DST, Bloomberg (CMGR), Reuters, FundStation, Microsoft Excel, Word, and Access
Interests
Held Series 6 and 63 Licenses and completed the H&R Block Tax Preparation course *Serves on the Board of Directors as Treasurer of Oakridge at Manalapan Townhouse Community Howard Staum Page 2 of 2 Howard Staum Resume Page 1 of 2 96
Work History
January 2016-CurrentSenior Public AccountantCompany Name |
  • Computerize existing manual accounting system and introduced excel into the current work environment.
  • Review and validate all work from the staff bookkeepers for final signoff prior to client delivery.
  • Research and resolve tax issues with the Internal Revenue Service prior to the completion of client tax returns.
  • Prepare monthly bank reconciliations, journal entries, and general ledger to closing and financial statements.
  • Supervise Accounts Receivable and Accounts Payable.
  • Process payroll, prepared quarterly payroll tax returns and monthly sales tax returns.
December 2013-October 2016Asset Management Compliance Analyst | Company Name | City, State
  • Reviewed policies and procedures of the overall compliance program in adherence to the corporate governance structure.
  • Performed periodic, transactional, and forensic testing against those procedures to mitigate the associated risks and provide enhancements and recommendations as part of the firm's 38a-1 compliance review.
  • Created metrics to measure the overall efficiencies of the validation testing of data in relation to the overall compliance program.
  • Documented all material and non-material breeches of the compliance program to the firm's Chief Compliance Officer for review, resolution, and presentation to the Board of Directors.
  • Lead project manager in validation of all manual compliance rules in conjunction with portfolio management quarterly compliance certifications.
  • Monitored electronic surveillance of key employees e-mail and Linked- in accounts to detect fraud and reduce the potential of reputational risk to the company.
  • Reviewed new investors backgrounds against the OFAC list to insure compliance with the firms AML policies and procedures.
  • Utilized Bloomberg (CMGR) in reviewing all funds and client accounts were in conformity with their compliance guidelines.
January 2012-January 2013Investment Compliance ConsultantCompany Name | City
  • Provided Quality Assurance Testing (QAT) of investment guideline restrictions, UCITS regulations, and 1940 Act restrictions prior to implementation into Charles River.
  • Formulated financial scripts and validated tests to ensure the coding accuracy prior to implementation into the Charles River System.
  • Monitored the collateral percentages of funds that engage in securities lending to ensure compliance with applicable thresholds.
  • Provided surveillance monitoring over the review of the daily new buy report to confirm the funds maintain their compliance objectives and update the responsible parties.
  • Worked with the Portfolio Management team to research and resolve all warnings and breeches of the fund's investment guidelines.
  • Lead project manager on automation of all fund rules with related benchmarks and indices.
  • Administered validation testing of all manual compliance rules with emphasis on automating these rules in the current work environment.
  • Performed detailed analysis of client Investment Management Agreements and worked with Compliance Officers in their interpretation.
January 2011-January 2012Senior Accountant | Company Name | City, State
  • Prepared monthly cash receipts and disbursement journals for all clients.
  • Reconciled all client banking activity and process journal entries into the accounting system.
  • Updated quarterly financial information to prepare the quarterly sales and payroll tax returns.
  • Prepared the annual tax work papers and processed closing entries into the general ledger system for preparation of the client's tax return.
  • Reviewed all financial statements and tax returns prior to client distribution.
January 2007-January 2011Compliance DirectorCompany Name | City
  • Managed the subadvisory compliance program of AllianceBernstein, which emphasizes client investment guidelines, conformity with 1940 Act restrictions, and fiduciary duties to clients' Boards of Directors.
  • Responsible for the daily compliance surveillance monitoring of the retail subadvisory funds.
  • Responded to our Sentinel-Latent Zero compliance team regarding client guideline inquiries and interpretations, as well as work on the resolution of active and passive breaches.
  • Prepared quarterly compliance certifications and Board of Director reports for our institutional and subadvised clients.
  • 10f-3,17a-7,17e-1,12d-3, 206(3)2, 35d-1, 12d-1,144a, section 4(2)).
  • Coordinated with clients and client's custodians in the regulatory filings of the Prospectus, SAI, NQ, N-SAR, N-CSR, and NP-X reports.
  • Conducted due diligence meetings with current and prospective clients to present our compliance program.
  • Worked with the RFP team in drafting language to update client contract renewals (15c) and due diligence questionnaires.
  • Validated all information on client and potential clients RFI and RFP requests prior to their due diligence visits to AllianceBerstein.
  • Monitored and completed compliance tasks from the firms internal Compliance Tracking and Monitoring System (CTMS) for the annual 206(4)-7 update and worked with the Mutual Fund Compliance Director in reviewing the annual 38a-1 report.
  • Provided guidance to the Sales and Marketing team in developing new client relationships and supported existing clients requests.
  • Engaged in the annual business continuity and disaster recovery program for our compliance department.
  • Participated in monthly and quarterly meetings of the Valuation and Error Tracking committees.
  • Worked with third party consultants during their independent third party review of AllianceBernstein.
January 1994-January 2007Team Leader | Company Name | City, State
  • Coached and trained a staff of four staff accountants on twenty-three Variable Insurance Trust ("VIT) Portfolios with emphasis on their professional development.
  • Created the annual expense budgets on the Portfolios and monitored the change in the expense accruals throughout the year.
  • Prepared the semi-annual and annual expense fluctuation report and detailed any variances greater than 5% from prior period.
  • Liaised with our clients to provide the dissemination of timely and accurate information requested within the applicable deadline.
  • Reviewed quarterly I.R.S.
  • diversification testing (Section 817 and 851) for compliance and sent to external auditors for confirmation.
  • Worked with our External Auditors to research and resolve any open issues to expedite the completion of the annual audits.
  • Partnered with Senior Management to certify semi-annual and annual Financial Statements.
  • Responsible for identifying internal control weaknesses, and develop practical solutions for Management.
  • Reviewed tax work papers and prepared the ROCSOP and REIT entries needed for the Financial Statements.
  • Attended monthly meeting with accounting agents and custodians to discuss any issues and strategically plan any upcoming deliverables.
  • Lead project manager on, Rebranding AB Lux Funds, Development and Implementation of Compliance Reporting systems (ORCA and Sentinel-Latent Zero), Custodian Conversions, and Redemption in Kind requests.
  • Uploaded pricing files into FundStation and performed validation testing on the funds against other similar funds and market indices.
  • Assisted senior management with any ad hoc reporting requests and special projects.
Education
Bachelor of Science: AccountingC.U.N.Y. Brooklyn College, City, State
Additional Information
  • Held Series 6 and 63 Licenses and completed the H&R Block Tax Preparation course *Serves on the Board of Directors as Treasurer of Oakridge at Manalapan Townhouse Community Howard Staum Page 2 of 2 Howard Staum Resume Page 1 of 2 96
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Resume Overview

School Attended

  • C.U.N.Y. Brooklyn College

Job Titles Held:

  • Senior Public Accountant
  • Asset Management Compliance Analyst
  • Investment Compliance Consultant
  • Senior Accountant
  • Compliance Director
  • Team Leader

Degrees

  • Bachelor of Science : Accounting

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