Derek Harper Email & Phone Number

Irvine, California, Us

Nashville, Tn, Us

- Legal entity controller for the firm’s U.S. based broker-dealers (BD)- Review and approve various BD regulatory reports including FOCUS (Part II & IIA), SIS, SSOI, SIPIC, Form Custody and Schedule I- Review and approve the BD’s Net Capital (15c3-1) and Customer Reserve calculations (15c3-3)- Oversee the compiling and closing of the BD’s monthly books and records - Global BD balance sheet and P&L consolidation supervisor (U.S., U.K., Asia, and Canada)- Communicate industry wide regulatory and accounting policy updates to senior management- Assist the BD CFO in the review and approval of the annual audited financial statements- Provide monthly and quarterly performance updates surrounding the BD’s to senior Finance and Operations management- Oversee accounts receivable and payable related to the BD’s buy-side and sell-side businesses- Liaise with U.S. regulators, internal auditors, and external auditors- Oversee the transfer pricing and expense allocation methodology for the BD business

Zurich, Ch

- Manage the preparation and review of the monthly FOCUS report for submission to the SEC, FINRA, CFTC, CME and other various regulators and exchanges- Manage the calculation and review of the daily and month end CFTC client money protection computations for the broker dealer’s U.S. regulated futures activity- Assist in the calculation and review of the weekly and monthly 15c3-3 Customer Reserve Formula (SEC client money protection)- Facilitate the preparation and review of the monthly and quarterly US GAAP financial statements for the broker dealer- Partner with entity controllers to produce the broker dealer’s annual audited financial statements- Review monthly US GAAP ledger entries made by product and business controllers- Liaise with U.S. regulators, internal auditors, and external auditors

Chattanooga, Tennessee, Us

• Manage the daily and closing operations for the 130,000 square foot building• Supervise and control the front desk by making sure only students, faculty, and staff enter the building• Provide tours of the building for prospective students• Disseminated information about events being held

Master Of Business Administration (Mba), Finance

Bachelor'S Degree, Business Finance