Robert
robalexander.rr@gmail.com
904-625-6269
5290 Big Island Drive Unit 1217
Jacksonville, FL 32246
Internal Audit Contractor at PWC
26 years experience W2
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Summary

Risk / Auditing / Accounting / Finance

Knowledgeable and detail-oriented Accounting / Finance / Auditing executive with valuable experience in financial product knowledge and accounting for financial securities, whether it be hedge fund accounting, mutual fund accounting, or broker dealer accounting and reporting.

Financial Products Knowledge & Experience

Expertise in derivatives such as credit default swaps, interest rate swaps, total return swaps, commodity indexed linked swaps, “TOBS” (Tender Option Bonds), forward currency contracts, futures contracts, options contracts, long and short positions on securities, short sales transactions, fixed income products, bonds, TBA securities, mortgage backed securities, asset backed securities, interest only strips, principle only strips, ETFs, Fund of Funds, index options, foreign futures, currency swaps, and bond roll forwards.

Regulatory Experience

Regulatory auditing experience in SEC 17a-5 Broker Dealer Financial Reporting FOCUS reporting requirements, SEC 17a-3, 17a-4 records retention regulation, 15c3-1 Net Capital Computations and Haircuts on securities, 15c3-3 customer protection and segregation of customer assets, REG SHO rules 200 markings, 201 circuit breaker “uptick” rule, 203 locate / borrowing requirements, 204 short sale close outs, SEC REG M Rule 105 Secondary Public Offerings, FINRA registration, licensing, CE requirements, AML or Anti-Money Laundering and KYC rules / regulations, Insider Trading regulations, Ponzi Scheme reviews on proprietary trading firms, CBOE rules, and trade practices rules.

Experience
Education
Bachelor's in Accounting
York College of Pennsylvania 1998
Skills
Accounting
2012
12
Case Management
2012
12
Reconciliation
2012
12
Mitigation
2017
7
P&L
2005
7
Project Management
2019
7
Auditing
2020
6
Compliance
2019
6
MS Visio
2005
6
MS EMS
2012
4
SSAE 16
2012
4
CCAR
2017
2
Controller
2017
2
Financial Reporting
2017
2
GAAP
2017
2
IFRS
2017
2
Regulatory Reporting
2017
2
Risk Analysis
2017
2
Test Planning
2019
2
Dodd-Frank
2017
1
SOX
2017
1
Stakeholder Engagement
2017
1
Training
2017
1
AML
0
1
FINRA
0
1
KYC
0
1
Risk Assessment
2017
1