Julia Ironside Email & Phone Number

Louisville, Ky, Us

Louisville, Kentucky, United States

As Financial & Operations Principal, I’m responsible for reviewing general ledger for accuracy, preparing monthly journal entries, performing account reconciliations, and managing month-end close process. In this role, I focus on preparing month-end financial statements and monitoring net capital levels and related compliance. I also maintain ongoing responsibility for preparing and filing regulatory reports, including FOCUS, Form Custody, SSOI, SIS, and SIPC7. In addition, I coordinate external audits and financial aspects of regulatory exams. Key contributions include: • Transitioned the Financial & Operations Principal position from an outsourced consulting firm to an internal function• Directed an initiative to execute accounting changes and revamped general ledger for more accurate revenue categories• Performs daily financial reporting responsibilities of a broker/dealer to support the firm’s overall goals and objectives• Maintains updated knowledge and understanding of regulatory updates and rule changes potentially impacting the firm

Louisville, Kentucky, United States

I provided leadership as a Regulatory & Financial Reporting Manager where I was responsible for preparing the firm’s monthly consolidated financial statements, executive management reporting, annual audited / semi-annual unaudited financial statements. In this position, I coordinated the financial aspects of external audits and regulatory examinations, including responding to and resolving exam findings. I also maintained general ledger accounts and financial statement report writing. Additionally, I prepared various industry surveys for CEO and CFO roundtables. Key contributions included: • Prepared and filed various regulatory reports to FINRA and SEC, including FOCUS, 15c3-1, 15c3-3, and Form 17-H• Managed general ledger accounting duties, including monthly accruals, reconciliations, and month-end close process• Delivered leadership as a key contributor to the selection process and implementation of a new general ledger system• Monitored firm municipal underwritings, inventory balances & general accounting, and reviewed settlement statements