Jeff Brian Gates Email & Phone Number

Greater Los Angeles Area

Manage all financial operations for New York City-based property management firm specializing in management of condominiums and cooperatives.Facilitated the rapid expansion of the company, exceeding the established business plan as well as all growth forecasts. Since joining the company, we have grown from 6 employees to 15, from ~$200,000 in revenue to over $1,000,000 and from 6 buildings under management to 28.Serve dual roles as Chief Compliance Officer and Board "Election Supervisor," as well as Chief Technology Officer, selecting and managing all electronic communications, hardware and software applications.Responsible for overseeing CPA audits of all buildings, and all government financial reporting requirements, from tax returns to NYC Real Property Income & Expense Reports. Procure and maintain appropriate insurance for all buildings under management, including property, liability, directors & officers, fidelity/crime and FEMA-approved flood coverage.Awarded partnership with equity stake as of January 1, 2011. Relocated to Los Angeles, CA in September 2012 to facilitate future expansion.

Greater New York City Area

Provide support and consulting services for small accounting firm.

Greater New York City Area

Initially hired in Equities Compliance as specialist in trading and risk management. Advanced from Assistant VP, VP and Senior VP in four years, to become one of the youngest Directors in Global Risk. Created and led forty person Compliance Infrastructure group, consisting of three geographically diverse teams serving over 75,000 employees globally. Quickly implemented creative approaches, such as staff rotation and incentive programs, to overcome extensive backlogs and other management challenges. Within three months, using existing budgetary and staff resources, the groups satisfied 18-month objectives, earning an unprecedented interim memorandum of satisfaction from Internal Audit.Served as interim COO and budget coordinator for Global Compliance, as well as in almost every Compliance area. Drafted and presented 2006 Global Compliance budget to CEO and CFO of Corporate & Investment Bank. As Director of Compliance Infrastructure, responsible for coverage of Outside Activities & Contributions, Compliance Training, Electronic Communications and Surveillance, Strategic Project Development, Information Security and Business Continuity. Designed and developed several highly successful Compliance Technology applications, including the METS system for internal review of employee trading, which was fully implemented, within budget, several months ahead of schedule, and received an approval rating of over 90%.Noted as an expert in identifying and developing "high potential" employees. Receive highest ratings for diversity while maintaining a retention rate of over 95% for several years, with employees receiving promotions three times more often than other groups.Utilized experience in trading and market making to direct two NASD Trading and Market Making Surveillance examinations. Served on Securities Industry Association Committee for three years. Testified before NYSE as expert in NASDAQ trading.

Jersey City, Nj

Traded high-value proprietary book covering 100 stocks. Exceeded profitability targets in 34 of 36 months. Recognized as specialist in risk management and compliance, monitoring execution quality for retail and institutional customers. Hand-picked by CEO among 50 traders to identify, evaluate and trade risk arbitrage opportunities.

Alton, Il

Licensed by Illinois Supreme Court to represent clients while in Law School, won several Civil Court and Administrative Law cases for low-income clients that helped avoid evictions.

J.D., Law

Activities and Societies: Full Tuition Scholarship

B.B.A., Human Resources Management

Activities and Societies: Magna Cum Laude, National Merit Scholar (Full Tuition, Room & Board Scholarship), College of Business Alumni.

High School