Ken George Email and Phone Number

S27 - Financial and Operations Principal/CFO to financial service companies.

· Act as Financial and Operational Principal (FINOP) for broker-dealers with varied operations; including self-clearing, market making, general securities, municipals, underwriting, mutual funds, mergers & acquisitions and bank-affiliated broker-dealer.

· Supervise back-office staff of self-clearing exchange member trading firm · Handle all financial reporting including monthly FOCUS filings and reserve calculations · Responsible for the firm's regulatory compliance program including written supervisory procedures, AML program, continuing education and CRD administration.

· Oversee all accounting and treasury functions for US-based e-commerce portal with overseas subsidiaries engaged in the research, evaluation and ranking of e-commerce sites. · Prepare and present financial projections to investment bankers and investors, coordinate department planning, budgeting, and assist in preparation of private placement memorandum and S-1 registration for IPO. · Supervise 2 accounting personnel, human resource manager and facilities manager.

· Perform daily accounting functions including managing cash flow, performing business analysis, maintaining general ledger and preparing management reports. · Supervise staff of seven individuals responsible for cash receipts and cash application. · Preparation of financial statements.

· Plan and conduct financial, operational and compliance audits for broker/dealers, manufacturers, not-for-profit organizations and other service companies. · Supervise team of three individuals in completing numerous engagements on budget. · Perform compilations and prepare tax returns for corporate and individual clients. · Consult broker/dealers in compliance and regulatory matters.

· Monitor and analyze financial and operational condition of broker/dealers. · Perform examinations of complex member firms to determine financial condition, adequacy of controls and compliance with federal regulations. · Present examination results to senior management.

· Supervise new personnel in performing securities and liquidity analysis (interest rate risk exposure and cash flow), loan review, balance sheet and general ledger reconciliations.