• Record trade information, income/expense activity.• Enter and reconcile all investor contributions and withdrawals.• Examined and analyzed accounting records to assess accuracy, completeness, and conformance to reporting standards.• Performed bank reconciliations, processed journal entries for complex transactions, and prepared supporting financial schedules and reports.• Adjusted activity as necessary for performance processing and reporting.

• Researched and compiled account information and prepared monthly journal entries.• Prepared and maintained monthly account reconciliations.• Participated in a project to implement new accounting system.• Managed Net Capital reports according to FINRA reporting standards.• Managed the AP and AR process to ensure proper bookkeeping by investigating customer accounts for irregularities, as well as to verify the accuracy of data reported.

• Assisted CFO in preparation of financial statements filed with FINRA both quarterly and annually.• Recorded commission and trail fee expenses on the general ledger.• Assisted CFO during annual broker dealer audit by PricewaterhouseCooper.• Managed and prepared budgeting expenses, variance analysis and forecast to effectively manage cash balances.• Tracked and determined financial status by analyzing actual results in comparison with forecasts.• Coordinated with various departments to gather and explain data from multiple sources and formulate future sales forecasts.• Conducted month end expense allocations.• Managed the quarterly sales and marketing expenses, as well as the quarterly marketing board report and service fee expenses.•Prepared and monitored cash flow statements and evaluated all bank charges to ensure accuracy on monthly basis.• Partook in the monthly close process; monitored FINRA prepaid broker dealer registration, conducted deferred acquisition cost calculations, DAC entries, general expense accruals etc.

• Generated and tracked monthly/quarterly client invoices, posted incoming cash receipts and reviewed aged receivables to maintain an up-to-date billing system daily.• Investigated customer accounts for non-payments, delayed payments and other irregularities, as well as participate in the refund processes to clients. • Verified the accuracy of billing data and revised errors.• Processed all outgoing wires and ACH payments to clients and insurance agencies.