Licensed in New Hampshire as a certified public accountant since 1990.
Act as Financial and Operational Principal (FINOP) for broker-dealers with varied operations; including self-clearing, market making, general securities, municipals, underwriting, mutual funds, mergers & acquisitions and bank-affiliated broker-dealer.
Accounting and tax services for small businesses and individuals.
Oversee all accounting and treasury functions for US-based e-commerce portal with overseas subsidiaries engaged in the research, evaluation and ranking of e-commerce sites.
Prepare and present financial projections to investment bankers and investors, coordinate department planning, budgeting, and assist in preparation of private placement memorandum and S-1 registration for IPO.
Supervise 2 accounting personnel, human resource manager and facilities manager.
Perform daily accounting functions including managing cash flow, performing business analysis, maintaining general ledger and preparing management reports.
Supervise staff of seven individuals responsible for cash receipts and cash application.
Plan and conduct financial, operational and compliance audits for broker/dealers, manufacturers, not-for-profit organizations and other service companies.
Supervise team of three individuals in completing numerous engagements on budget.
Perform compilations and prepare tax returns for corporate and individual clients.
Consult broker/dealers in compliance and regulatory matters.
Monitor and analyze financial and operational condition of broker/dealers.
Perform examinations of complex member firms to determine financial condition, adequacy of controls and compliance with federal regulations.
Present examination results to senior management.
Supervise new personnel in performing securities and liquidity analysis (interest rate risk exposure and cash flow), loan review, balance sheet and general ledger reconciliations.