James Paddon Email & Phone Number

United States

New York, New York, Us

Larchmont, Ny, Us

Journey CxO is a community dedicated to helping leaders and emerging leaders manage their professional journey, build their leadership skills and enhance their business acumen.

New York City, Us

London, England, Gb

Consulting executive to high growth companies and to the finance function. Projects included supply-chain and finance transformations for a global consumer products company and regulatory compliance for a US super-regional bank.

Boston, Massachusetts, Us

♦ Responsible for global operations, compliance, accounting and audit financial management and trading.♦ Chief Compliance Officer for SEC-registered investment advisor and for unregistered hedge fund. Kept all SEC filings current and oversaw all employee compliance; completed SEC exam for newly registered advisor.♦ Key corporate partner with major impact on product and client strategy. Extensive board and investor contact.♦ Supervised 100%-electronic trading function, hired director of trading, and engineered trading process redesign.♦ Transactor on multiple rounds of capital raising; designed and executed cap table restructuring and unitization.♦ Executed corporate restructuring, relocating California and New York offices to Boston; responsible for IT and HR.

London, Greater London, Gb

♦ Financial executive for the U.S. operations of a UK- and South Africa-headquartered global financial institution.♦ Chairman of the U.S. Risk Committee, responsible for management of credit, market and operating risk.♦ Oversaw launch of 3 new U.S. wholesale financing businesses. Member, Board of Directors for the U.S. entity.♦ CFO and FINOP for the firm’s U.S. broker dealer; CFO for U.S. holding company, 3 U.S. private equity entities and 1 credit workout unit. Responsible for strategy, HR, technology, treasury, accounting, audit, planning, risk, tax and financial compliance. Extensive contact with Board of Directors and Audit Committees of U.S. entities.♦ Branch manager with direct supervisory and compliance oversight for all registered associates of the firm.♦ Management responsibility for operations, including middle and back office and global clearing for U.S. clients.♦ Implemented numerous regulatory-driven process changes and responsible for frequent contact with regulators.♦ In first month identified over $1M of past accounting errors. Researched, prepared and recorded correcting entries and made formal report to group-level executives and FINRA. Rewrote written supervisory procedures.♦ Developed and presented annual strategic and profit plans. U.S. posted 85% compound annual revenue growth.♦ Planned and executed Peachtree-to-JD Edwards accounting systems conversion for all U.S. entities and related process automation. Managed migration of all non-core finance functions to lower-cost offshore service center.♦ Prepared and filed all monthly FOCUS and other regulatory reports; coordinated annual audits (Ernst & Young), clean FINRA cycle exam, and corporate and partnership tax return preparation (PriceWaterhouse).♦ Initiated the Corporate Social Responsibility and Employee Volunteering programs for North America.

♦ Financial executive, key member of senior management team and FINOP. Oversaw CRM, human resources, and legal and compliance management.♦ Marketed, negotiated, structured and closed highly complex $23M B-round raise/buyback, including oversight of outside counsel, documentation, and executing related corporate restructuring (holding company).♦ Direct high-level contact at the SEC and FINRA on implementing corporate restructuring. ♦ Put in place market and operating risk management and limits for high-volume principal trading business, including maximum loss simulation and economic and regulatory capital (SEC Rule 15c3-1) requirements.♦ Firm-wide human capital management, including recruiting and cash and non-cash compensation plans.♦ Developed business expansion plans for listed options and bulletin board/pink sheet stocks.♦ Filed FOCUS and other SEC reports; oversaw two annual audits (E&Y), clean cycle exam and FINRA filings.

♦ CO-FOUNDER and NATIONAL PRACTICE LEADER for JGI, NYC & Rochelle Park, NJ; leading mid-tier consulting firm | 3 years♦ INTERIM CFO for Portware, NYC; privately-held developer of algorithmic trading software | 9 months ♦ INTERIM CFO & FINOP for Soleil Securities Group, NYC; independent equity research agency broker-dealer | 4 months♦ CFO through exit for Lava Trading, NYC; PE-backed software firm serving the largest global financial institutions | 4½ years♦ Increasingly responsible positions culminating with multiple MANAGING DIRECTOR roles for Chemical Bank, Chase Manhattan Bank and Chase Securities, NYC | 12 years

Ba, Public & International Affairs, African Studies - School Of Public And International Affairs

Mba, With Distinction, Finance

Education record