Responsible for all Accounting activities, including Checks, Deposits, Accruals, Budgeting, Budget/Actual Variance Analysis, 990 Expense Allocation, and Cash Flow Forecasting.

Wrote test preparation content for Securities Industry Essentials (SIE) Exam.

Maintain updated knowledge of FINRA, SEC and state statutes that apply to the financial services industryProvide oversight of outside business activities (OBA)Supervise investment advisory activities of the agencyConduct detached office supervisory reviewsMonitor and supervise electronic communications within the agenciesReview and monitor trends with respect to sales practices and implement corrective actions as necessaryWork with Registered Principal (RP) team members to assist with e-mail and suitability issues that ariseOversee the completion of annual compliance meetings, firm element requirements, and overall compliance related trainingAssist agency leadership in reviewing potential recruits who meet broker/dealer and company standardsEnsure that all licensing and registration requirements are met and maintainedSupervision of marketing and advertising activitiesSupervision and approval of gifts and gratuitiesMaintain accurate and complete regulatory filings relating to the Agency/Branch, as well as any detached registered and non-registered locations (Books & Records)Function as key contact or point person in case of regulatory examinations and internal audits and inspectionsRespond to all home office examinations and implement action plans to mitigate future reoccurrenceImplement updates to the policies and procedures as necessaryIdentify and implement opportunities for operating and procedural efficienciesProofPoint: Monitor social media for adherence to the policySubmit all pages for compliance approval and work with financial representatives to resolve issues

• Coordinated data feeds with programmers of 24 Managing General Underwriters and 11 Third-Party (Claims) Administrators.

• Processed PeopleSoft Financial allocations, reports and queries during semi-monthly financial reporting schedule.

• Calculated $200,000 in international brokerage commissions based on orders from 600 advertisers. • Reviewed nine months of product receipts and corresponding costs in Work in Process GL account reconciliation.• Processed 50 cost matching records for year-end.

• Developed twenty-minute process to compare hundreds of financial entries from current system to upgraded system. • Enabled financial certification of Publishers Advantage upgrade.• Reviewed two years of product receipts and corresponding costs in Work in Process GL account reconciliation.• Processed 239 cost matching records, satisfying previous year-end audit note.

• Transitioned daily bank reconciliation with $250 million activity per month from New York to Overland Park. • Initiated daily download of bank activity to better meet daily technical cash reconciliation schedule.• Analyzed, reconciled, and closed monthly Accounts Payable during corporate monthly financial close.• Obtained $7,000 tax credit for subleased property when preparing and filing NYC Commercial Rent Tax Returns.

• Responsible for Publishers Advantage journal entries provided to Oracle GL with $2 million in monthly revenue.• Ad hoc analysis of sales and costs from order tables in SQL database, reconciled to journal entry transactions.• Won agreement for, and implemented, financial mapping of Earned Revenue and Cost of Goods Sold by item by day.• Led development of application to forecast sales of 60 publications to support editor’s budget planning.• Developed database application with 8,000,000 records for comparing current year’s orders to previous year’s orders.• Developed revenue recognition change model for determining effective date of accounting method change.• Developed sales model to determine feasibility of changing advertising rates from print base to internet base.

• Performed Financial Reporting, Payroll, Benefits functions.• Managed one Accounts Payable Clerk.• Managed selection of product and vendor for Y2K conversion project. • Performed Y2K data extract from BPCS and conversion for load to Great Plains Dynamics.

• Performed work supervision of A/R-Collections Clerk and Payroll Accountant. • Improved daily liquidity accuracy by implementing Accounts Receivable and Accounts Payable reporting controls.• Prepared daily deposits and delivered to bank. • Ordered international wire transfers to parts manufacturers in India and Taiwan.

Obtained 100+ new clients, providing Personal Financial Analysis and Financial Services Products, including Mutual Funds, Life Insurance, Variable Annuities, and Fixed Annuities.Held Kansas Life and Health Insurance License.Held Missouri Life and Health Insurance License, Passed Series 6 exam to sell mutual funds, variable annuities, and insurance premiums.Passed Series 63 Uniform Securities State Law Examination