Francis Van Scoy, Cfa, Cpa, Caia Email & Phone Number

New York City Metropolitan Area

Roslyn Heights, New York, United States

Roslyn Heights, New York, United States

Greater New York City Area

Responsible for the financial operations, reporting and compliance program for a global-macro strategy Registered Investment Advisor and Commodity Pool Operator comprised of one Master-Feeder and one standalone fund. Facilitated a routine NFA examination that was completed in a prompt and timely manner and culminated in a favorable outcome. Experience with cybersecurity events and mitigating any adverse effects. • Extensive exposure to all aspects of the firm: portfolio accounting, fund administration, trade operations, financial reporting, tax preparation, annual audit, investor relations and treasury responsibilities• Reviewed and updated all written compliance policies and procedures and marketing materials• Prepared quarterly and annual SEC and NFA filings: including 13F, Form PF, ADV, Form D and CPO PQR• Updated legal and regulatory documents, including PPMs and the DDQ• Monitored, reviewed and tested trading activities and portfolios for compliance with trading and investment guidelines, best execution and allocation matters• Monitored personal trading activities for regulatory compliance• Held operational due diligence meetings with institutional investors and investment advisor consultants• Management company administrative functions: including healthcare benefits, payroll, 401K administration, E&O/D&O insurance, facilities, budgeting and forecasting and maintaining the books and records.

Greater New York City Area

Team member at fund launch. Familiar with third party service provider sourcing process and fund rollout. Assisted with alternative fund offerings, e.g. SMAs and Best Ideas offering. Assisted with the development of a cloud storage system of daily transactions/trade files to back up administrator and aid in the design of macros and tailored reporting. Created numerous documents to facilitate the audit process and due diligence requests.Select Financial Responsibilities included:Stewardship of annual audit, tax returns and K-1’sIntegral part in setting up new prime broker relationships and SMAsInvolvement with FATCA compliance procedures and regulatory filings, e.g. form PF, 13F and 13HReviewed daily – Administrator’s cash reconciliations, position reconciliations and trial balanceMonth end NAV process, month end accruals, economic allocations, management and performance fee calculationsAssisted CFO with management company accountingProvided the Portfolio Manager with numerous quantitative, qualitative and statistical reports, e.g. Bloomberg sector, GICS, market capitalization, correlation, ROR, ROA, portfolio turnover, beta, portfolio liquidityAssisted Investor Relations with investor requests, month end and quarterly letters and due diligence meetingsSelect Operational Responsibilities included:Completed Executing Broker documents, e.g. Form 151, AML, Institutional SuitabilitySoft dollar monitoringCoordinated FIX connection implementation with executing brokers and OMSObserved daily trading activity, facilitated locates, monitored trade execution and commission ratesCoordinated trade allocations between Master Fund and SMAs and amongst prime brokers and executing brokersResolved trade breaks between administrator, prime brokers and executing brokers for foreign and domestic securities

Jersey City, New Jersey

Integral team member assigned with the development and implementation of policies and procedures designed to provide investors with confidence and independent third party validation regarding transactions and net asset values of their investments. Responsibilities included:Supervised and trained staff members, reviewed workpapers and fostered staff developmentVerified client’s cash positions, reset amounts, market values and open trade equity amounts of securities heldCoordinated with multiple groups to independently acquire information used to verify client’s data. Organized broker feeds and testing strategiesCorroborated the client’s trade operations values with those recorded by the client’s financial reporting departmentTested and validated economic allocations and confirmed partner statements were free of material misstatements

Greater New York City Area

Documented all internal control policies which facilitated the completion of the financial statement audit, K-1’s and tax returns within the budget and in a timely manner. Classified all positions held according to the FASB 157 fair value hierarchy. Was an integral member of a team responsible for instituting the bank debt settlement process and a team responsible for the implementation and documentation of the business disaster recovery plan. Experience in severe situations – implementation of a lock-up and knowledge of gates.Select Financial Responsibilities included:Coordinated and oversaw completion of annual audits and the preparation of annual tax returnsAssisted CFO office with month end closing proceduresAssisted the Valuation Committee with pricing CDS, Convertible Bonds, Interest Derivatives, MBS and ABS portfoliosCalculated and paid fund expenses including monthly management fee, performance fees, legal fees, rent tax, etc.Performed and compared with Administrator monthly partner allocations, performance and capital balances for Offshore, Onshore and Unit Trust FundsReviewed and approved monthly investor statements and assisted the Investor Relations Department with subscriptions, redemptions and transfers of interestSubmitted periodic filings to the Securities and Exchange CommissionSelect Operational Responsibilities included:Performed multiple daily cash reconciliations, made and responded to daily margin calls and created an excess cash report used by the Portfolio ManagersResolved daily trade breaks with prime brokers and counterpartiesAssisted with the recording of coupon and factor pay downsHandled the pay downs, delayed compensation and the settling of trades for distressed and non-distressed bank debt transactions done through TRS and on-balance sheet financing

Greater New York City Area

Consistently completed all audits, K-1’s and tax returns before client agreed upon due dates. Instrumental in maintaining and expanding client relationships. Involvement with marketing the RSM McGladrey, Inc. brand.Select Responsibilities included:Managed and conducted all stages of Hedge Fund and Private Equity audits: including planning, fieldwork and preparation of financial statements including required footnote disclosures and capital lettersSupervised and reviewed audit work papers of senior and junior accountantsGenerated and reviewed partnership economic and tax allocationsPrepared 1065’s and corresponding state tax returns for aforementioned fundsPrepared and reviewed K-1’s for all partners

Jericho, New York

Maintained and expanded client relationshipsConducted all stages of audits: including planning, fieldwork and preparation of financial statements Filed corporate and personal tax returns: 1120, 1120S, 5500, 1040’s and applicable state returnsHandled clients’ monthly and quarterly bookkeeping duties Filed quarterly and annual payroll and sales tax returns and issued 1099’s and W2’s

Melville, New York

Prepared income tax returns for partnerships, individuals, S corporations and C corporationsConducted financial statement audits: including detailed testing of balance sheet and income statement accountsHandled clients’ monthly and quarterly bookkeeping duties

Hauppauge, New York

Prepared monthly and annual financial statements and disclosures for three paper millsPrepared all journal entries, payroll analysis, numerous bank and loan reconciliations, calculated monthly inventories, fixed asset schedules and heavy account analysisSupervised Accounts Payable and Receivable clerksPrepared and filed payroll taxes in thirteen states for parent company and subsidiaries

Farmingdale, New York

Prepared daily backlog, collateral and cash flow reports, marketing, travel and entertainment spreadsheets, commission statements for twenty salespeople, fixed asset schedules, bank and loan reconciliations, special project financing and filed highway use tax returns in three states Assisted Controller with monthly and annual closings