Michael Moise Email & Phone Number

Lake In The Hills, Il, Us

Lake In The Hills, Il, Us

United States

Greater Chicago Area

CFO and compliance professional for broker/dealer firm

Greater Chicago Area

Senior Examiner responsible for auditing broker/dealer firms to ensure compliance with industry rules and regulations.

Established a formal accounting and reporting function to support the launch of onshore and offshore hedge fund vehicles for bank clientele.Reviewed and approved on a monthly basis, several multi-strategy fund of hedge funds portfolio valuations with total AUM of $1.2 billion as part of team overseeing $9 billion in fund of fund investment portfolios. Also produced and submitted monthly regulatory reports.Monitored and reviewed external fund administrator’s monthly valuation packages and reconciled to internal parallel valuations. Reviewed all management and performance fees earned, client statements and transaction contract notes.Performed line of business controller responsibilities relating to monthly corporate reporting. Oversaw annual audit, tax, and financial statement preparation in conjunction with fund administrators and accounting firms. Also performed operational due diligence on the annual audited financial statements of the hedge funds. Ensured all portfolio transactions, cash flows and valuations were accurately reflected on internal portfolio management database utilized by the investment team. Serviced and maintained collateral credit lines for each fund. Calculated and monitored F/X hedges for foreign currency investments and investor share classes.Interacted with all levels of management and staff on subjects such as accounting policies and procedures, corporate reporting and annual budgeting process. Prepared and delivered specialized client reporting to various internal and external client groups. Resolved client inquiries and served as a resource for internal client teams. Provided internal sales groups with reporting on trail commissions and management fee rebates.Successfully transitioned all outside service providers, including fund administration, audit, tax and legal vendors as part of merger with JP Morgan.

Provided daily oversight of all back office functions for $3 billion in investment portfolios, including trade settlement, income collection, general ledger postings, account reconciliations, wire transfers, fixed income asset pricing, asset research and set-up, and asset securitizations.Performed monthly accounting and performance reporting for all the various proprietary managed portfolios including equities, bonds, commercial mortgage-backed securities, collateralized debt obligations, sub-asset backed investments, futures and hedge funds.Coordinated use of multiple systems, including general ledger and performance measurement systems, used by the back office and the validation of the monthly performance reporting figures to senior management.

Managed $3 billion mutual fund and money market settlement group within Trust Operations Unit. Performed daily trade settlement, dividend posting and balancing of third party mutual fund accounts.Member of management team responsible for the planning and execution of strategic projects, staff training, and daily management functions necessary to ensure both customer and employee satisfaction. Managed the transition of the unit’s jobs and responsibilities from the Chicago office to the Columbus, Ohio office in conjunction with the merger of First Chicago NBD and Bank One.Managed, trained and coached 10 team members daily and through job transition/elimination process.