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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.

♦ 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.

♦ 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