As the Financial Advisor of the company, I am leveraging my expertise in financial planning, risk management, taxation and accounting to provide strategic financial guidance and help the company make informed decisions that promote financial stability and growth. My advisory services to the company include:- Fund raising and negotiating term sheets with investors- Preparing financial projections and business plans- Evaluating financial risks and opportunities, and offering advice on how to mitigate those risks.- Providing guidance on tax planning and compliance, including ensuring the company is in compliance with all relevant laws and regulations.- Recommending and managing investments that align with the compnay’s goals and risk tolerance.- Helping the company to establish financial policies and procedures that promote accountability, transparency, and fiscal responsibility.

- Serve as the counterparty credit risk subject matter expert responsible for evaluating the risk management and control framework of complex financial institutions with respect to counterparty credit risk.- Lead firm specific or horizontal supervisory reviews in areas of governance, strategy, financial condition, independent risk management, internal controls (including internal audit), and business line management. - Maintain extensive experience and advanced understanding of financial markets and banking system, bank and broker-dealer funding products, bank holding company structures and key counterparty metrics/regulations for counterparty credit risk management.

- Monitor and assess the safety and soundness of Large and Foreign Banking Organizations (LFBO), with a focus on financial risk management and capital and liquidity planning. - Participate in supervisory examinations related to capital planning, liquidity and the spectrum of financial risks, as well as ongoing monitoring of these areas.- Lead and assist in monitoring and evaluation of large banking institutions’ capital and liquidity risk, including participation in Horizontal Capital Review, Horizontal Liquidity Review, Current Estimated Credit Loss Review, Pandemic Capital Exam, etc. - Collaborate and contribute to capital and liquidity related supervisory assessments and communications to the bank, including supervisory planning, monitoring, Internal Rating Assessment, feedback letters and Annual Roll-ups. - Monitor and evaluate governance and controls practices across the bank’s major business lines and independent risk functions, with a focus in the following area: Wealth Management, IT & cybersecurity risk. - Meet regularly with bank management across business lines, independent risk, and internal audit to develop comprehensive views of governance and controls practices.

• Monitoring, assessing and testing the adequacy of firms’ risk controls, policies, and procedures in market risk, credit risk, liquidity risk, and operational risk, as well as cybersecurity and technology governance to determine whether firms are operating within their regulatory requirements. (e.g. assess the adequacy of firms’ market risk management framework, including the firm’s control process of establishing and changing limits, as well as limit breach escalation process. Evaluate the reasonability of firm’s market risk model, risk limits structure and liquidity stress testing.) • Plan examination scope by performing risk assessment and in-depth analysis of firms’ business, financial and risk structure.• Manage and execute multiple simultaneous cycle and cause examinations of large, mid-sized and small broker dealers to ensure members are operating within SEC/FINRA rules.• Prepare written examination reports and conduct exit meetings to effectively articulate complex regulatory concerns noted during examinations to member firms; as well as present exam related matters to senior management and colleagues at internal meetings and conferences.• Familiar with various financial products such as equities and derivatives, fixed income, futures and forwards. • Perform research on regulations; seek rule interpretations from FINRA Policy Group and SEC.

Conduct audit procedures and tests to determine compliance with applicable policies and auditing standards.Prepare working papers to support conclusions in accordance with audit standards.Research audit issues and communicate results verbally and in writing to client and management. Prepare financial statements for compilation reports, review reports and audit reports

Analyze company's revenues; costs, financial liabilities, and assets. Produce and maintain Financial Reports such as balance sheets or profit/loss statements and report to administrators. Prepare monthly bank reconciliations.Completing or analyzing paperwork, handling accounts receivable, accounts payable, and payroll.Prepare company's quarterly and annual tax returns including income tax, sales tax and payroll taxes for federal and state.

Use Prosystem fx Tax to prepare partnership, S corporation, individual, trust, gift and not-for-profit tax returns, coordinate and prepare some compliance work.Prepared annual tax projections and quarterly tax estimates and provision, including tax planning, for individual, partnership and corporation.Respond to IRS and multi-states regarding notices received by clients and discuss and negotiate any issues that arisePrepared tax paperwork evidences and negotiate with IRS for tax audits.Assist senior managers and clients in researching tax related issues and write memorandums for clients.Analyze brokerage statements, prepared statements of net worth for clients and give tax related investment advices.

Handle Account Receivables, Bookkeeping and Production ReportingAnalyze Marine Insurance Risk and Issue Insurance Certificates Process Surety Bond Applications

Assisted Financial Executive which included processing applications of investment account, serving customers, answering phone calls and filing.