Harold Kaplan

Harold Kaplan Email and Phone Number

Regulatory Reporting Analyst @ Curvature Securities, LLC
Harold Kaplan's Location
New York, New York, United States, United States
Harold Kaplan's Contact Details
About Harold Kaplan

Financial, Operations and Compliance Professional. I have many years of experience in the financial industry, facing off with FINRA auditors as well as internal and external auditors. Extensive knowledge of Net Capital Rule and Customer Reserve Computation. Vast experience with multiple national and local Self Regulatory Organizations (SROs) across the financial industry. Filed Federal Reserve daily, weekly, monthly, quarterly and annual filings.I look forward to making an impact with a great organization in the next stages of my career. I am open to connecting here on LinkedIn or can be reached directly at haroldmkaplan@gmail.comSpecialties: FINOP, Series 27, 15c3-1, SIPC-6, SIPC-7, 17H, FOCUS, 15c3-3, AML, KYC, remote-friendlyinternal controls, FOCUS report

Harold Kaplan's Current Company Details
Curvature Securities, LLC

Curvature Securities, Llc

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Regulatory Reporting Analyst
Harold Kaplan Work Experience Details
  • Curvature Securities, Llc
    Financial And Operational Analyst
    Curvature Securities, Llc May 2024 - Present
    Chatham, New Jersey, Us
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  • Ubs
    Ccar Regulatory Reporting Analyst
    Ubs Nov 2022 - Jan 2024
    Zurich, Ch
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  • The Alacer Group
    Consultant
    The Alacer Group Apr 2021 - Nov 2022
    Bellevue, Washington, Us
    Responsible for broker-dealer desktop procedures.• Pointed out operational risk for broker-dealers • Authored over 60 desktop procedure
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  • Morgan Stanley
    Director
    Morgan Stanley Nov 2017 - Mar 2020
    New York, Ny, Us
    Responsible for reviewing rules governing how the Regulatory Account Usage (RAU) field isbeing populated. (This field is being used to automate the Customer Reserve Computation.) Worked with Technology and Compliance on the RAU project to ensure proper implementation.•Split CFTC accounts from broker-dealer accounts for 15c3-3 computation•Coordinated Good Control Location (GCL) project to ensure the Firm had a 90-day letter and “no lien” agreements on file for all foreign GCL accounts•Participated in daily conference call covering root cause analysis of 15c3-3 account classification exceptions
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  • Financial Industry Regulatory Authority, Inc. (Finra)
    Regulatory Coordinator
    Financial Industry Regulatory Authority, Inc. (Finra) Mar 2014 - Mar 2016
    Washington, District Of Columbia, Us
    • Prepared for risk-based examinations of broker-dealers and RIA
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  • Georgeson Securities Corporation - Computershare
    Cfo And Fin Op
    Georgeson Securities Corporation - Computershare Jul 2008 - Sep 2013
    New York, Us
    • Ensured compliance of broker-dealer under the net capital rule 15c3-1• Reviewed and accountable for Customer Reserve Formula rule 15c3-3
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  • Merrill Lynch
    Vice President, Regulatory Reporting
    Merrill Lynch Mar 2001 - Jul 2008
    New York, Ny, Us
    • Supervised filing of all Federal Reserve FR2004B reports including A, B, C, WI & SI; TIC S, BC, BL-1, BQ & SA• Supervised Financial and Operations of Government Securities (FOGS)
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  • Gruntal & Co. Llc
    Regulatory Analyst
    Gruntal & Co. Llc Jul 1997 - Mar 2001
    Responsible for month ending booking of firm's inventory and haircut schedules used in FOCUS report
  • Oscar Gruss & Son Incorporated
    Staff Accountant
    Oscar Gruss & Son Incorporated Feb 1993 - Jul 1997
    Automated all of the firms bank reconcilations
  • Carroll Mcentee & Mcginley
    Systems Operator
    Carroll Mcentee & Mcginley Jul 1992 - Feb 1993
    Organized back-up tape library on Data General system for a primary dealer.

Harold Kaplan Skills

Securities Finance Finra Fixed Income Capital Markets Trading Financial Services Accounting Sec Equities Risk Management Auditing Derivatives Microsoft Office Series 27 Epicor Account Reconciliation Financial Analysis Investment Banking

Harold Kaplan Education Details

  • City University Of New York-College Of Staten Island
    City University Of New York-College Of Staten Island
    Accounting

Frequently Asked Questions about Harold Kaplan

What company does Harold Kaplan work for?

Harold Kaplan works for Curvature Securities, Llc

What is Harold Kaplan's role at the current company?

Harold Kaplan's current role is Regulatory Reporting Analyst.

What is Harold Kaplan's email address?

Harold Kaplan's email address is ha****@****att.net

What schools did Harold Kaplan attend?

Harold Kaplan attended City University Of New York-College Of Staten Island.

What skills is Harold Kaplan known for?

Harold Kaplan has skills like Securities, Finance, Finra, Fixed Income, Capital Markets, Trading, Financial Services, Accounting, Sec, Equities, Risk Management, Auditing.

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