Gabriel Caraballo, Ama-Cpm Email & Phone Number

Englewood, New Jersey, United States

Brooklyn Ny

As manager of the Service Company Reporting and Compliance team I oversaw quarterly testing of the Company’s intercompany transaction/allocated costs, lead the preparation of the Service Company Annual Regulatory Filing, and acts as subject matter expert on the Company's allocation process. Key Achievements: · Developed a new sampling approach for the Company’s compliance program, incorporated new testing methodologies, implemented a peer review process, and identified other improvement opportunities to increase productivity and share best practices with stakeholders.· In 2020, I became Business Lead on the Workiva implementation project, where I helped develop and execute a comprehensive project plan, collaborated with cross-functional teams, including IT, Finance, and Compliance, and, after gaining expertise in the system, became system administrator.· Successfully resolved complex stakeholder and regulatory requests through costs trend analysis and scenario planning analysis.

Brooklyn Ny

Designed and instituted a procedural framework for the newly formed Finance Rate Case Team. This included presenting new processes to stakeholders at various levels for buy in, acted as the Data Retention Manager for Finance and Shared Services for rate cases across multiple jurisdictions, and trained, coached, and oversaw day-to-day activities of a team of three staff. Key Achievements:· Assisted in the implementation of new processes to manage, track, and implement new approved rates. This involved collaboration with the US Controller, regulatory stakeholders, and finance managers to design an approach that mitigated risk of non-compliance and provided a road-map for system, personnel and reporting needs.

1 Metrotech Brooklyn Ny

Prepared quarterly and annual financial statements including income statements, balance sheets, equity roll forwards, cash flow and various management reports for several operating companies. Forms were presented in US GAAP for creditors and banking partners and FERC Form 1s and 1-3Q for the FERC and various state regulatory commissions. Key Achievements: · Lead an initiative to gather, validate and support post submission adjustments. This involved the upload and reconciliation between the ledger and reported financials.· Lead an initiative to evaluate the impact of accounting errors for unrecorded and recorded out-of-period journal entries, in qualitative and quantitative terms, to determine periods involved, the potential need for restatement and prepare disclosures.

New York, Ny

· Coached a newly created financial reporting team for a company that recently went public by creating a control environment, identifying key inputs and stakeholder, and creating process documents to ensure the company was SOX compliant. · Prepared and reviewed quarterly filings (10Q, 10K and Proxy Statement) for FXCM Inc. and subsidiaries by calculating and tracking the company’s stock compensation including forfeitures, vested shares and expenses for quarterly disclosures, performing analytical procedures and preparing supporting schedules for management reporting and quarterly filings.

New York, Ny

Engagement: JPMorgan Chase & Co. - Specifically, I was involved in the audit of the Investment bank (IB), which involved the review of quarterly and annual disclosures, audit of specific instruments withing the IB and perform agreed upon procedures- Broker Dealer Audits of JPMorgan Subsidiaries which included verifying broker-dealers’ SEC compliance with Consolidated Supervised Entity (CSE) regulations, Net Capital Rule 15c3-1and SEC Customer Protection Rule 15c3-3 as well as controls testing over margin, possession and control, physical custody, commission and interest calculations

New York, Ny

- Processed advertising sales orders, invoices and purchase orders- Performed general accounting functions including month end close and journal entries and accounted for the media sales barter trades- Reviewed transactions for SOX compliance- Generated ad hoc reports and sample data including forecasts and scorecards