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Click here or scroll down to respond to this candidateCandidate's Name
Street Address Maplewood CircleOldsmar, Florida Street Address
EMAIL AVAILABLECell # PHONE NUMBER AVAILABLEPROFILEmBanking and auditing professional with more than 30 years experience. Excellent team worker with strongcommunication skills. I have in depth knowledge of general ledgers, accounts payable/receivables and payroll. Im also experienced as a liaison with external auditors and government regulators regarding SOX 404, control reviews and internal financial audits.Broad professional competency in all Bookkeeping proceduresRECENT EXPERIENCE;The below assignments were conducted by myself as a self employed Audit/Finance consultant from 1997 to 2022 (AMS Co. Inc. S Corp). Prior to 1997 I was employed by JP Morgan Trust from 1980 to 1997.Director of FinanceAlzheimers Disease Resource Center East Islip NY May 2016 to PresentPerform all bookkeeping duties using Quick Books 2013. Duties are as follows:Reconcile all checking and Investment accounts on a monthly basisReconcile donor website (authorize.net) to bank deposit accounts monthlyMonthly Reconciliations of general ledger entriesProve monthly payroll and 401k activityReview and post Accounts Payable and Receivable Invoices to QuickBooksFollow up on all payable and receivable inquiries.Review and all necessary adjusting entriesDevelop Instruction Manual for Financial postingsMay 2014 to March 2016Contracted by Grant Thornton LLPPerformed internal audits for Investment and Investment accounting areas for one of Grant Thorntons banking clients (Apple Bank NYC). Audit responsibilities were as follows:Detail testing of Fixed Income TradingDetail testing of Derivative trading and fair value pricing.Review of monthly reconciliations to General Ledger for Equities and Fixed IncomeDetail testing of loan participation lending for Investments purposes.Participated in writing control recommendations to Chief Investment Officer (CIO).Contracted by North Shore Youth CouncilBookkeeper/Audit Temp Position October 2013 to April 2014Perform all bookkeeping duties for non-profit organization using Quick Books. Also perform internal audit, develop control procedures and reconciliations. Review bills/invoices for A/C payable/receivables.Reconcile all checking account on a monthly basisMonthly Reconciliations of general ledger entriesProve monthly payroll and 401k activityPost expenses to expense accountReview and post Accounts Payable and Receivable Invoices to QuickBooksRespond to Accounts Payable and Receivable inquiresDeveloped internal control procedures for Board of DirectorsDeveloped Bookkeeping instructional manualAssisted in NY State and workman Comp AuditsSterling National Bank - Sarbanes Oxley - Financial Controls May 2007 to September 2013SOX TestingConducted SOX testing (404) and maintained on line documentation for all tested areas, responsible for follow up all noted deficiencies and remediation documentation. Maintained and prepared work papers on line for review by management, Office of the Controller of Currency (OCC) and external auditors. In addition to testing, the areas listed below, re-performed reconciliations to balance sheet and Income statement to assure reliability.Commercial Real Estate Performed control testing regarding lending authority, appraisals, site visits, environmental reports and collateral.SNB Residential Mortgage Company Reviewed documentation for closing check lists, loan to value, lending authority and appraisals. Performed control reviews/re-calculate for past due loans and interest income reversals (Mortgage ware)Accounting/General Ledger-review of closing entries for 10Q and 10K.Payroll SystemsProfessional BankingResource Funding - (JD Edwards)Asset Base Lending (ABL)ABL and Resource Funding Field ExaminationsMoney Transfer/Wire ServicesInvestment DepartmentContracted by AEGIS Software Business AnalystNomura Securities Inc. (NSI) NYC January 2006 to May 2007Sarbanes-Oxley 404 & Business Analyst (BA)SOX IT Liaison & Documentation SpecialistNSI was converting to a new securities processing system (XENOS). Duties include interfacing with NSI SOX team on behalf of the IT developers to ensure the GAPS are addressed and control procedures that were documented for the prior processing system are going to be established in the processing system in development. As a BA performed quality assurance testing for Fixed Income Processing. The areas of responsibility included the following:Commercial and Residential Whole LoansFixed Income (Government Bonds)Repurchase AgreementsCorporate Actions (Reorgs)US Equities and Convertible BondsStock Loans InternationalBond Future OptionsJapanese and Foreign EquitiesHudson Financial SolutionsBank of Montreal Toronto Canada March 2005 to August 2005Sarbanes-Oxley 404 Financial GovernanceResponsible for performing compliance detail testing in relationship to section 404 of the Sarbanes- Oxley Act (SOX) for high risk areas such as Specific Allowance on Corp. Loans, Capitalization of Software and Equity Futures Trading.Responsible for populating the SOX 404 template that depicted an overview of the assigned area, the control responsibilities, work flow process and the test procedures performed.Performed walk through testing of the work processes for assigned areas.Assembled and cross-referenced pertinent documentation needed for evidence review.Responded to management quality review inquiries and recommendations subsequent to forwarding SOX report templates to senior management (CFOs & Managing Directors).Park Hudson InternationalJP Morgan Securities Inc. April 2004 to February 2005Sarbanes-Oxley & Government Bond AccountingResponsible for performing compliance detail testing in relationship to section 404 SOX for accounting reconciliations for Government, Municipal Bond and Mortgage Backed securities accounting sections.Responsible for interacting with JPM Chase outside audit firm (PW) to ensure proper documentation for SOX work papers and authorization is referenced on reconciliation reports.Performed Documentation reviews for Government & municipal bond and Mortgage Back securities.Assisted in evaluating existing control matrices for the areas mentioned above and back office trading and stock lending areas.Responsible for daily posting of trade and adjusting entries to the firms General Ledger (G/L).Performed daily reconciliations of government bond trades to the firms General Ledger (G/L).Responsible for recording and following up to final resolution, all open reconciling differences (breaks).Contracted SECURITIES BROKERAGE SERVICESFifth Third Bank Cincinnati, Ohio (Consultant) November 1997 to May 2003Treasury OperationsPerformed an audit review of the Treasury and Trust Operations General Ledger. Responsible for reconciling back dated cash discrepancies for Government Bonds and fixed income assets.Assisted the IT group in providing data for weekly reports (matrixes). The reports reflected identification of trades discrepancies for cash recovery.Performed reconciliation (audit) of cash trades between the FRB and Fifth Thirds Trust Operations records.Assisted in preparing financial data (excel spreadsheets), for review by regulators (FRB).EDUCATIONQueens Borough Community College - AccountingPROFESSIONAL DEVELOPMENTManagement Communication Development for Supervisors, JP MorganCredit Card & Bank Fraud, (FBI) for JP MorganSupervisory Communication Sterling National BankEqual Opportunity Employment/Sexual Harassment Awareness Sterling National BankPerformance Evaluation, JP MorganPC SKILLSQuickBooks Financial BookkeepingLogic Manager SOX & Risk Analyst SystemMicrosoft Windows 2000Windows for WordMicrosoft ExcelGlobal Plus Processing SystemSUNSTAR (SUNGAURD) Corporate Trust Processing SystemJack Henry Deposit and Security Processing SystemINTEREST AND VOLUNTARY WORKBlue Ridge Home Owners Association Board of Directors (HOA) October 2013 to PresentElected as Treasurer for the HOA. Responsible for reviewing all monthly financials requested by myself and the HOA CPA. Responsible for implementing payroll system (ACCU-DATA) and new financial system (SAGE Peachtree).Served as President for 2021 - 2022Responsible for producing monthly treasures reportConsult on projects for up-keeping community building (club house building and offices), golf course, indoor and outdoor pool and Sewer Treatment PlantResponsible for reviewing and approving all accounts Payable billingResponsible for assisting bookkeeper in resolving A/P and A/R inquiriesReview all outside vendor contractsReview monthly payroll reconciliationsResponsible for preparing annual budget >$2,000,00.00Monitor budget analysis on a monthly basisOTHER INTERESTPast Treasurer Independence Party Political Action CommitteeJudiciary Committee for the Independence PartyFormer member Sterling National Banks Employee Advisory BoardFormer President - East Islip Chamber of CommerceFormer member of the Bay Shore Knights of Columbus - Building Board of Directors |
