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FINANCE EXECUTIVEAdvanced Expertise in Broker-Dealer Accounting, Regulatory Reporting, and Internal ControlsAnalytical, accomplished executive with extensive experience successfully planning, refining, and leading enterprise-wide projects aimed at accelerating company growth. Elite communicator skilled in mentoring and directing multidisciplinary teams, both onshore and offshore, toward aggressive metrics. Career chronicled by progressive trajectory, key achievements, and positive industry reputation. AREAS OF EXPERTISE* Accounting Management* Brokerage Accounting* Financial Oversight * US GAAP Compliance * Regulatory Requirements * Internal Controls * System Development* Global Collaboration * Complex Reporting * Continuous Improvement * Cross-Team Communication* Team LeadershipFINRA Licenses: Series 4 (Options Principal), Series 7, Series 24 (General Securities Principal), Series 27 (Financial Principal), and Series 63
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Vice PresidentGoldman Sachs Sep 2020 - PresentNew York, New York, Us
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Chief Financial OfficerFolio Financial, Inc. & Folio Investments, Inc. (Acquired By Goldman Sachs) Sep 2014 - PresentChief Financial Officer reporting to CEO and facilitating strategic input. Close books for parent company and subsidiaries. Perform weekly reserve calculation under rule 15c3-3. Uncover and research fluctuations in collaboration with Operations group. Prepare and file monthly FOCUS reports. Drive preparation of annual financial statements. Oversee invoicing, receivables, accounts payable, commission calculations, and payroll processing. Maintain stock and stock option databases. Prepare and create financial presentations for board of directors. Manage federal and state tax payments and filings.M&A Specialty: Integral participant in firm’s M&A activity, including valuation, due diligence and closing. Audit Contact: Serve as audit contact for firm, supporting financial and regulatory audits and identifying, engaging and managing audit firms. Cost Improvements: Control operational costs via strategic negotiations with vendors and equipment contracts.
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Director, AccountingE*Trade Financial Feb 2011 - Aug 2014UsProvided comprehensive oversight and compliance assurance of accounting functions across retail broker-dealers, including E*TRADE Clearing LLC & E*TRADE Securities LLC.* Trained, mentored, and directed staff of 15 onshore and offshore professionals* Guided efficient, accurate monthly accounting close, including reviewing and understanding balance sheet and income statement variance drivers* Ensured accurate and timely reconciliations for all general ledger accounts* Supervised preparation of broker-dealer annual and the semiannual financial statements according US GAAP* Filed semi-annual SIPC-6 and annual SIPC-7 regulatory reports* Developed and implemented accounting and internal control procedures* Analyzed department processes, and integrated changes aimed at attaining continuous improvements in controls and quality of reports* Collaborated with Product & Operations to review new business initiatives* Consulted with Corporate Accounting & Tax on accounting matters to understand impact of policies and ensure compliance* Served as primary contact for external auditors and regulators for retail broker-dealers -
Director, Regulatory ReportingE*Trade Financial Aug 2006 - Feb 2011UsInteracted with global retail and institutional operation groups to resolve exceptions and unusual activity, and suggested procedures which provided for continuous improvements in operation functions.* Directed staff of five professionals, including one offshore team member * Designed and integrated control procedures to achieve process improvements * Integral in analyzing expenses in support of departmental budgeting process* Supervised preparation of business-critical reports, statements, and schedules, including: o Broker-dealer annual and semiannual financial statementso Weekly and monthly 15c3-3 customer reserve computationso Monthly FOCUS reports which included the 15c3-1 net capital computation and monthly financial statements according to US GAAPo Regulatory management reports and schedules used in internal and external reporting and for external auditors* Oversaw filing of various regulatory reports, including quarterly SEC Form 17-H, semi-annual SIPC-6 and annual SIPC-7 reports, as well as various Treasury regulatory reports
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Manager, Regulatory ReportingE*Trade Financial May 2000 - Aug 2006UsCollaborated across global retail and institutional operational groups to identify, isolate, and resolve exceptions and unusual activity. Suggested procedural improvements. * Developed and directed staff of three professionals* Supervised and assisted in the preparation of various reports and statements, including: o Weekly and monthly 15c3-3 customer reserve computationso FOCUS reporto Broker-dealer annual and the semiannual financial statements according US GAAPo Regulatory management reports and schedules
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Sr. International Financial Reporting AnalystE*Trade Financial Oct 1999 - May 2000UsMaintained all financial operations and international relationships of E*TRADE Global Ltd.
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Sr. Regulatory Reporting AnalystE*Trade Financial Oct 1997 - Oct 1999UsSupervised and assisted in the preparation of regulatory reports and financial statements.
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Customer Service Rep IiE*Trade Financial Apr 1996 - Oct 1997UsCultivated and strengthened relationships with customers through professional, responsive service.
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Account ExecutiveDean Witter Apr 1995 - Apr 1996New York, Ny, UsManaged, monitored and grew key accounts.
Jim Fyffe Skills
Jim Fyffe Education Details
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Inter-University Center For Japanese Language Studies (Iuc) -
University Of San FranciscoAsian Pacific Studies
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San José State UniversityAccounting
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University Of Michigan
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Wayne State UniversityFinance
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Japan Center For Michigan Universities
Frequently Asked Questions about Jim Fyffe
What company does Jim Fyffe work for?
Jim Fyffe works for Goldman Sachs
What is Jim Fyffe's role at the current company?
Jim Fyffe's current role is Vice President at Goldman Sachs.
What is Jim Fyffe's email address?
Jim Fyffe's email address is jim.fyffe@gs.com
What is Jim Fyffe's direct phone number?
Jim Fyffe's direct phone number is +165086*****
What schools did Jim Fyffe attend?
Jim Fyffe attended Inter-University Center For Japanese Language Studies (Iuc), University Of San Francisco, San José State University, University Of Michigan, Wayne State University, Japan Center For Michigan Universities.
What skills is Jim Fyffe known for?
Jim Fyffe has skills like Securities, Finance, Financial Services, Accounting, Equities, Sec Filings, Internal Controls, Financial Analysis, Risk Management, Sarbanes Oxley Act, Series 7, Account Reconciliation.
Who are Jim Fyffe's colleagues?
Jim Fyffe's colleagues are Maryann Illiano, Aditya Vats, Joshua Brass, Robert Whelan, Itunuoluwa Odetokun, Josh Zhu, Ants Viira.
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