Seasoned Financial Services SVP executive with CFO, Compliance (CCO) and Personnel-HR/Administration Managerial roles. Active SEC Broker-Dealer Registrations (Wynston Hill Capital, LLC - part-time), and Registered Investment Adviser history Director/CFO/Controller Executive Highlights - 35+ years, including 15 years with one Financial Services organization, responsible within three core disciplines: Financial Accounting All Accounting and Reporting functions, including monthly internal financial package (to management) and external (to regulators & governmental sectors), Project Accounting - produced and directed cost accounting, cash flow forecasting, resource allocation and budget reporting systems with goals to accurately pinpoint bottom - line contributions of each primary profit/service center, Directed annual certified independent and periodic SEC & NFA regulatory financial audits, Compliance Coordinated Broker/Dealer and Registered Investment Adviser regulations directing adherence to the firm's: fiduciary responsibilities to clientele, regulatory mandates in jurisdictions where memberships are maintained, and Employee Manual Policies and Procedures delineating business conduct HR/Personnel/Facilities Management Directly responsible for all HR functions, including staffing, Payroll, benefits administration, reviews, office procedures, space management, lease negotiations, costing analytics

Highlights:

• CFO
• Financial
• Financial Services
• Services
• Accounting
• Balance
• Balance Sheet
• Business Plan
• Cost Accounting
• Financial Reporting