Regulatory responsibilities include:• Ensuring continued adherence to regulatory reporting requirements for Gain Capital Group LLC (US Regulated entity RFED, FCM); Gain Capital Securities Inc (US Inactive Broker Dealer) Gain Capital Forex.com Canada Ltd. (Canadian IIROC Dealer Member); and Gain Global Markets Inc. (Cayman regulated entity). • Daily, monthly, quarterly review of CFTC 1.20 Segregated Calculation, CFTC 20.7 Secured Amount Calculation, Bi-Monthly FCM SIDR reporting; Daily Forex Filing, Daily Net Capital monitoring, Monthly CFTC 1-FR FCM, Monthly active retail metrics, Quarterly profitability metrics, Quarterly NFA Section 16 review, quarterly and annual regulatory schedule for parent company’s 10Q and 10K.• Coordinate annual and periodic regulatory audits for US (CFTC and NFA), Canada (IIROC), and Cayman (CIMA).• Coordinate Annual FATCA filing for Canada and Cayman entities.• Ensure annual compliance for unclaimed property reporting.Treasury responsibilities include:• Assist the Global Head of Treasury in managing counterparty risk and enhancing yield. Responsible for ensuring continued compliance to external counterparty KYC requirements.• Responsible for opening new accounts with top tier and medium sized banks to protect customer and firm funds.• Maintain relationships with top banks

GAIN CAPITAL GROUP LLC VP, CFO / Director• Review Daily Futures and Forex Bank Reconciliations, Daily Futures and Forex Broker Reconciliations, and Daily Futures and Forex Payable to customer reconciliation. • Review monthly account reconciliations, monthly 1-FR filing and support, NFA Monthly Forex Filing, and NFA Quarterly Forex Filing.• Coordinate public and regulatory audits.• Review and finalize annual financial statements for the Americas (US, Canada, Cayman)GAIN CAPITAL FOREX.COM CANADA LTD Director• Assisted in formulating the five-year business plan required to open the Canadian entity• Prepare Weekly Risk Adjusted Capital (RAC) calculation.• Review monthly Trial Balance, Journal Entries, and supporting MFR Mapping to produce Monthly Financial Report• Point person for IIROC and AMF Regulatory audit.• Review annual financial statements and coordinate quarterly and annual public audits.• Review and finalize annual FORM 1.• Prepare Annual AMF Qualified Persons Disclosure• Coordinate Annual Provincial filings.• Compile relevant data for Annual Board presentation.

• Supervised 7 people. • Reviewed balance sheet and regulatory schedules daily. • Reviewed/Prepared Daily CFTC 1.20 Segregation Computation, CFTC 30.7 Secured Amount Calculation, Net Capital and schedule of haircut charges. • Coordinate month end closing process within the established time frames. • Communicate /resolve large customer, broker, and exchange breaks with the Treasury and Operations Departments. • Reviewed/prepared daily to monthly and monthly to monthly variance analyses. • Reviewed Consolidating Income Statement, Consolidating Balance Sheet, and eliminations.• Responsible for review and accurate presentation of all divisional G/L’s including foreign currency trial balances, related FX exposure and FX gain/(loss). • Responsible for compilation, presentation and analyses of monthly CFTC 1-FR Filing. • Prepared year end and quarterly financial statements and supporting schedule for the footnotes to the financials. • Coordinate annual/quarterly public audits as well as CME and NFA regulatory audits. Coordinate and test automation of back office payable to customer G/L reconciliation. • Liaison with CME, CFTC, and NFA on all monthly 1-FR variances and related queries.

Supervisor, Futures & Options Department• Prepared & distributed daily futures P&L summaries and revenue forecasts for all departments reflecting customer, affiliate and proprietary trading. • Reviewed daily point balances prepared by the Futures & Options Department. • Recorded daily and monthly transactions for all futures USD and foreign currency activity.• Reconciled daily margin received and paid to customers. • Marked to market customer, affiliate and firm owned collateral. • Reconciled customer and affiliate owed collateral with stock record and third-party source. • Prepared daily regulatory reports including CFTC 1.20 Daily Segregation and 30.7 Secured Amount computations. • Responsible for futures & options volume reporting and analyses. • Prepared month-end departmental expense estimates and accruals. • Reconciled closing month-end futures books with final firm trial balance. • Prepared monthly and quarterly reports to parent company. • Coordinate confirmation of futures activity with subsidiaries and affiliates.Junior Accountant, Financial Reporting Department• Reconciled firm bank accounts as well as branch offices and subsidiaries bank accounts.• Analyzed open items on the bank reconciliations and prepared schedule of adjustments for the FOCUS filing.• Processed month-end expense accruals and consolidating journal entries.• Prepared consolidated balance sheet, consolidated income statement, and supplementary reports for the parent company.• Reviewed disbursement requests and ensured all fixed asset acquisitions were authorized and properly classified. Maintained fixed asset module including adding assets, recording depreciation and preparing monthly reconciliation of fixed assets to the general ledger.