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.