Doug Waldron Email & Phone Number

1 New York Plaza, 4Th Flr, New York, Ny 10004

Handle accounting for legal entity acquisitions, dividends, capital management, double leverage management initiatives, and legal entity reorganizations working closely with TAX Dept. Act as Legal Entity Controller for various entities. Direct the intercompany expense settlement to minimize outstanding balances and costs, ensuring that intercompany lending balances are subject to suitable terms and rates.

Greater New York City Area

Coordinating Cash Management and debt / capital restructuring. Control review of FX hedging and reporting. Equity accounts reconciliation and AOCI reporting. Implementing control reporting constructs for a newly formed JV enterprise.

Purchase, New York

Supported the acquisition / merger of Morgan Stanley and Smith Barney retail brokerage enterprises. Established new legal entities, with range of accounts and opened the bank accounts working with Global Banking Services. In conjunction with legal and tax department generated the accounting flows required by the tax plan to combine the operations. Reconciled the capital accounts and contributions to the JV agreement pro forma and the deal economics documentation. Established cash control monitoring and reporting process for cash funding movements.

Greater New York City Area

Reviewed and documented reporting processes for Sarbanes Oxley initiative, noting deficiencies in accounting processes.

Greater New York City Area

Assisted in collation of asset data required for the BASEL reporting requirements.

Greater New York City Area

Provided balance hset account utility analysis and documentation for regulatory reporting. Provided anlaysis and instruction on calculation of rates earned / rates paid on cash balances, along with an FX exchange rate impact on the US$ equivalent reporting. Prepared a presentation on the DTC clearing process to the accounting staff.

Greater New York City Area

Prepared SEC Compliant 2005 financial statements on TD Waterhouse Group, Inc for filing by TD Ameritrade.

Greater New York City Area

Prepared SEC compliant financial statements for three years ended 2004 with notes and financial data in support of the Ameritrade acquisition of the US operations of TD Waterhouse Group. Handled the accounting for the disposition of foreign brokerage entities and the banking operations to TD. Led the work on the BASEL II project, including data flow documents for data capture and data base definitions for feed to risk engine. Generated documentation of work processes and tested adherence to procedures for Satbanes Oxley intiative. Provided support to CFO of Bank on FAS 133 treatment of hedging instruments and documentation requirements.

Greater New York City Area

Generated consolidated financial statements, responsible for integrity of financial statements, external reporting and financial accounting. Oversaw regulatory reporting to Federal Reserve Bank for the Bank Holding Company.

London, United Kingdom

Responsibilities encompassed financial management, accounting, internal financial controls, regulatory and statutory reporting, budgeting and forecasting, business line management reporting. Also managed infrastructure requirements, which included lease negotiations for expansion and re-stacking of operations in support of an expanded trading floor, trading operations,settlements and product results reconciliations.

London, United Kingdom

Managed accounting and reporting ensuring compliance with standards and all regulatory requirements for EME Divison, which included the wholesale lending and trading operation in the Branch, UK licensed Bank and UK and European subsidiaries. Developed annual business plans and forecasts, implemented business line reporting and performance and variance analyses, with results agreed by business heads and reconciled to book of records.

Greater New York City Area

Managed accounting and reporting for New York Branch, IBF and booking subsidiary, ensuring compliance with standards and regulatory reporting requirements. Implemented reliable treasury product profit reporting, with reconciliations of dealers estimates to financial accounting results. Generated the annual business plans.

Greater Atlanta Area

Managed the Atlanta Agency funding operations for wholesale lending, and the financial accounting for subsidiary booking vehicles with investment and with real estate assets held. Implemented a commercial paper entity, working with the New York trading desk to fund the various subsidiary booking vehicles in the US.

Master'S Degree, Accounting

Bachelor'S Degree, Accounting And Business/Management