Robert Zimmel, Cfa Email & Phone Number

Leland, Nc, Us

A Proprietary Trading Group specializing in SPX Options on the CBOE. A registered Broker-Dealer and Self Clearing member of the Options Clearing Corporation.• Responsible for the financial and regulatory reporting for MBX Clearing.

New York, New York, Us

• Serves as SME for all regulatory reporting requirements.• Manages net capital for continuous compliance with SEA rule 15c3-1. • Documents policies, procedures and WSP's of the broker-dealer.• Approves all regulatory filings for the broker-dealer.• Completes annual audited financial statements.• Maintains robust chart of accounts to satisfy regulatory and management reporting requirements.

• Monitored net capital (15c3-1) through vigilant maintenance of our general ledger.• Created policies and procedures to prudently manage finance and operations.• Implemented controls to reduce risk and protect capital.• Produced relevant monthly financial reporting for broker-dealer.• Supported auditors in the completion of annual audited financial statements.• Effectively guided financial decisions by providing relevant, timely and accurate financialinformation.• Managed relationships with regulatory authorities including the SEC and FINRA.• Accurately completed all regulatory filings on a timely basis. • Participated as a member of our New Product/Business Committee to assess our ability to successfully enter new endeavors.

Bethesda, Md, Us

• Improved FINRA relationship through timely, transparent and full disclosure of information.• Monitors net capital (15c3-1) through vigilant maintenance of our general ledger.• Accurately reports to Private Equity fund investors detailed quarterly results. • Approves all waterfall calculations, capital calls and distributions for our private equity funds.• Creates relevant monthly financial reporting for broker-dealer and investment companies.• Supports auditors in the production and distribution of K-1’s and completion of audited financials.• Effectively guides financial decisions by providing relevant, timely and accurate financial information.• Diligently protects assets by establishing, monitoring, and enforcing internal controls.

Us

• Diplomatically developed a strong rapport with FINRA through effective communication of developments.• Effectively monitored net capital daily through diligent maintenance of our general ledger.• Successfully terminated vendor contracts which saved over $75,000.• Provided status of financial condition by collecting, interpreting, and reporting financial data.• Proactively transitioned accounting to QuickBooks online for improved accessibility and flexibility.• Improved investor relationships by providing weekly performance and capital projections.

New York, Ny, Us

• Effectively remediated deficiencies cited by internal audit department in a challenging environment.• Achieved budget objectives by reviewing expenditures, analyzing variances and initiating corrective actions.• Efficiently prepared special reports by collecting, analyzing, and summarizing information and trends.• Prudently protected operations by keeping financial information and plans confidential.

Zurich, Ch

• Successfully completed two years of audits for three funds and transitioned these funds to a timely reporting cycle for 2008 to comply with regulatory requirements and tax filing deadlines..• Efficiently prepared special reports by collecting, analyzing, and summarizing information and trends.• Managed investor expectations through effective communication with the COO.

New York, Ny, Us

• Effectively managed and maintained hedge fund account relationships.• Carefully developed a robust operating model to comply with client SLA’s.• Successfully on-boarded new clients in a comprehensive and timely manner.• Supported growth in AUA from $4 billion to $13 billion in only 2 years with no additional hiring.• Supervised a team of 25 in the provision of daily P/L and monthly NAV’s.• Effectively developed, managed and retained a team of high-performing finance professionals.• Approved all components of NAV’s before submission to clients.

• Advanced client relationship management by producing our first client profitability report which enabled better pricing of our services and improved profits by more than $200,000 per annum.• Completed a “cost per unit” project which identified excess capacity and led to more aggressive pricing in these underutilized businesses which increased revenues by $250,000 annually.• Developed and maintained ‘best-in-class’ core FP&A functions, including: forecasting, budgeting, variance analysis, corrective actions, and liquidity planning.• Effectively provided timely and accurate executive financial decks. • Collaboratively developed processes and implemented systems to support ‘best-in-class’ financial reporting.

Montrouge, -, Fr

• Successfully transitioned all accounting to the bank’s general ledger system in less than 3 months.• Enhanced the bank’s general ledger for the nuances of FCM regulatory reporting which reduced the time required to produce regulatory reporting by 15 hours per month.• Collaboratively generated daily transaction uploads into our general ledger which reduced manual work performed by our operations department by 8 hours daily and improved accuracy.• Automated transaction processing which reduced costs by approximately $100,000 annually.• Implemented a month-end supervisory review and sign-off of the regulatory report (1FR).• Earned approval of our control design and implementation from our regulators which removed us from their “watch list”.

São Paulo, São Paulo, Br

• Effectively implemented a scalable front-to-back technology platform which supported prudent growth in AUM from $400 million to $850 million in 2 years.• Successfully tested and endorsed this technological solution which saved the firm $250,000 annually.• Instituted rigorous internal controls which rapidly identified and resolved issues.• Effectively initiated a prime brokerage relationship for FX which reduced our collateral requirements by more than $100,000.• Supervised liquidity management which increased interest income by $50,000 per annum.• Supported diversification through investing in additional asset classes. • Leveraged technology and staff’s expertise to internally perform tasks previously outsourced to our administrator and auditor which saved $200,000 annually.• Effectively managed third-party relationships to optimize service levels while controlling costs.

Zurich, Ch

• Supported the North American fixed income division's sales and trading effort. • Created a multi-currency financial reporting application. • Prepared the annual budget. • Participated in determining compensation. • Managed the merger transition with Swiss Bank. • Completed straight-through-trade-processing form Bloomberg to our settlement application (ADP).

Zurich, Ch

• Ensured the integrity of the financial results for the Americas Fixed Income Division. • Diligently monitored trading activity and aged inventory. • Expanded coverage of external pricing of products traded. • Provisioned less liquid inventory. • Coordinated the global budget. • Produced monthly financial reporting with variance analysis and relevant commentary.

New York, New York, Us

• Monitored commodities and FX exposure. • Protected capital of the firm by enforcing credit limits. • Provided expertise on operational and financial risk pertaining to new lines of business. • Supported the launch of new businesses including oil trading and deferred metals trading.

Mba, Finance

Bba, Managerial Sciences