Derek Carter Email and Phone Number
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FINRA Series 27 LicenseSpecialties: FINRA Series 27 licenseRegulatory report preparation and review (FOCUS, 1-FR-FCM, 1-FR-IB, SFC Hong Kong, FCA London)Demonstrated leader, strategic thinker, quick learner, and flexible team playerMS–Applications (Word, Excel, Access, Powerpoint, Solomon), Hyperion, Visual Basic, SQL, PeopleSoft, Quicken, Impact (AS400), Bloomberg, MAS 90, Quickbooks, Lawson G/L, FAS (Fixed Asset System)Working knowledge of GAAP, GAAS, regulatory rule sets, and IFRSFluent in German (lived in Germany 3 years), interested in German language and culture
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Chief Financial OfficerPhillip Capital Inc. Oct 2017 - PresentChicago, Illinois, UsOversee finance, accounting, treasury, and regulatory functions within the firm. Manage finance team. Integral in several automation work groups and other cross-function teams. Perform due diligence on and reviews of potential acquisition targets. Manage annual financial statement and regulatory examinations. Integral in month-end close process. Ensure accurate and timely reporting of financial regulatory reports. Assist with ongoing buildout of broker-dealer business. Incorporation of SQL, Solver, VBA/macros, among others, into liquidity management, optimizing yield, general ledger entry reviews, variance analyses, and other possible automation projects.
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Financial Operations Principal (Finop)Phillip Capital Inc. Dec 2014 - PresentChicago, Illinois, Us
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Director Of Regulatory ReportingKcg Holdings, Inc. (Getco, Llc) Mar 2009 - Aug 2014Served as Financial Operations Principal (“Finop”) for 4 regulated entities. Managed annual broker-dealer audits and oversaw regulatory examinations. Managed and coordinated annual SEC 17-H visits and related presentations. Interacted with department leads (risk, clearing, compliance, legal, treasury, trading, etc.) regarding regulatory updates or other issues. Prepared and/or reviewed all regulatory reports and supporting documentation, including FOCUS, NLA, 1-FR-FCM, 17-H, and various FCA reports. Directly involved in researching and implementing regulatory initiatives. Managed regulatory capital on an intra-day basis. • Successfully transitioned the regulatory capital monitoring system from Compliance and improved functionality by monitoring at sub-unit and team levels.• Provided regulatory capital analysis for the creation of the DMM trading entity and successfully coordinated with regulators to achieve ideal capital structure.* Served as a member of the enterprise Capital Planning Team.
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Avp - Assistant ControllerCountrywide Securities Corporation Jul 2005 - Jan 2009Charlotte, Nc, UsPrepared, reviewed, and submitted timely domestic and foreign regulatory reports (U.S., U.K., and Hong Kong). Directly involved in researching and implementing regulatory initiatives including Agent Lending Disclosure and Basel 2 (CRD) (U.K.). Integral in month-end closes with emphasis in trading inventory accounting, FIN 39/41 netting, securities pledged, delayed deliveries and other regulatory issues. Oversee daily calculation of regulatory capital, weekly 15-c3-3 calculations, weekly Fed prime dealer reporting, and other quarterly reports and ad hoc management reports. Directly involved in trading system upgrades and conversions. Supervised activities of between three and five personnel. • Key player in successful integration of Agent Lender Disclosure regulations into regulatory capital calculations.• Instrumental in implementation of U.K. transitional provisions during 2007 with plan of full transition to Basel 2 (CRD) regulations on 1/1/08.• Incorporated use of Visual Basic to realize time and efficiency savings of at least 4 staff hours per day. -
Director Of AccountingNational Planning Holdings Mar 2002 - Jun 2005Prepared, reviewed, and submitted timely FOCUS reports for 4 companies. Directly involved in centralizing and consolidating accounting systems of 4 subsidiaries, including implementing internal control changes. Integralin monthly closes with emphasis in commission accounting and intercompany transactions and regulatory issues. Oversaw various projects, including IT-capitalization and weekly and monthly cash forecasting. Coordinated and supervised activities of 4 personnel.
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Senior AccountantWells Fargo Van Kasper Jul 2000 - Dec 2001Prepared daily reconciliations of operating cash accounts, monthly reconciliations of sweep and trading inventory accounts. Completed weekly profit/loss report from activity in trading accounts. Directly involved in additional areas as general ledger accountant.
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AccountantDouglas D. Halladay & Co. Cpa, Cfp Sep 1993 - Jun 2000Directly involved in general ledger, accounts receivable, accounts payable, payroll and payroll tax reconciliations, and reporting. Compiled financial statements and/or complete tax returns for over 150 businesses and over 300 individuals. Assisted clients with financial planning. Performed additional office manager duties including training and supervising hourly and seasonal employees.
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Student InternWelcome Tourist - Incoming Service Dresden Apr 1996 - Aug 1996Translated documents and guides into English for non-German clients. Represented company at tourismindustry conventions and meetings. Expanded company’s reach by laying foundation for company’s internet site. Assisted clients with hotel room and/or concert ticket reservations. Performed additional office, marketing, and bookkeeping duties.• Increased company exposure by suggesting several marketing ideas for company booth at travelindustry convention and for company's 10,000th client celebration.• Contributed ideas for and participated in the filming of a 20-minute documentary by German TV station,Deutsche Welle, which was subsequently broadcast in Germany and in the United States.
Derek Carter Skills
Derek Carter Education Details
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Utah State UniversityAccounting Emphasis -
Utah Valley UniversityBusiness Management - Accounting Emphasis
Frequently Asked Questions about Derek Carter
What company does Derek Carter work for?
Derek Carter works for Phillip Capital Inc.
What is Derek Carter's role at the current company?
Derek Carter's current role is Chief Financial Officer at Phillip Capital Inc..
What is Derek Carter's email address?
Derek Carter's email address is de****@****.com.sg
What is Derek Carter's direct phone number?
Derek Carter's direct phone number is +131235*****
What schools did Derek Carter attend?
Derek Carter attended Utah State University, Utah Valley University.
What skills is Derek Carter known for?
Derek Carter has skills like Account Reconciliation, Financial Analysis, Accounting, General Ledger, Internal Controls, Accounts Payable, Securities, Auditing, Finance, Accounts Receivable, Management, Financial Statements.
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