Peter Cortese Email & Phone Number

Middletown, Nj, Us

Washington, District Of Columbia, Us

• Lead and conduct accurate and substantive financial, operational, and sales practice compliance examinations of NYSE, NYSE MKT, NYSE ARCA, NASDAQ, and Cboe Exchange members and member organizations.• Review member organization’s financial statements by applying practical knowledge of accounting, finance, and auditing standards and principles to ensure accuracy and validity.• Review member organization’s regulatory requirements and computation of Net Capital including calculations of securities haircut charges and asset classification. • Evaluate adequacy of the member organization’s compliance programs for Anti-Money Laundering and Insider Trading policies and procedures for internal controls including Exchange membership and required training of registered representatives.• Complete assigned examinations timely and communicate findings, recommendations, and required corrective action to member organization’s senior management both verbally and via written reports.• Supervise, assist, and train other and new examiners including while leading cycle examinations and special projects when needed.

London, England, Gb

• Prepared and analyzed monthly General Ledger in accordance with GAAP for preparation of FOCUS report to ensure accurate and timely regulatory reporting with regulators.• Calculated and analyzed firm’s Net Capital computation including haircut charges on proprietary positions, and operational charges on daily basis per SEC rule 15c3-1.• Prepared monthly close reporting package for management including variance analyses of financial statements, bank, and clearing account reconciliations.• Assisted Financial Controller and external auditors in preparation of audited financial statements for preparation of annual report.

New York, Ny, Us

• Prepared weekly reserve calculation in accordance with SEC rule 15c3-3.• Calculated and reported securities haircut charges on proprietary positions per SEC rule 15c3-1.• Assisted with operations management to reduce capital exposure and save on firm’s cost of capital.• Prepared monthly trend analysis of firm’s Income Statement and operational activities.• Assisted in coordination of Sarbanes-Oxley compliance.

• Prepared weekly reserve calculation in accordance with SEC rule 15c3-3.• Calculated and reported securities haircut exposure on proprietary positions per SEC rule 15c3-1.• Reconciled and adjusted customer accounts in processing direct deposits and ACH transactions from third party vendors with operating bank account.• Researched, reconciled, and adjusted cash dividends and bond interest receivable and payable balances in customer accounts.

Us

• Analyzed and corrected stock record breaks on a daily basis.• Audited and adjusted stock record positions to physical inventories on quarterly basis.• Researched, reconciled, and adjusted cash dividend and bond interest receivable and payable balances in customer accounts.

Bachelor Of Science (Bs), Accounting And Business/Management

Education record