Chief Financial Officer
Chief financial officer for $1 billion network of four brokers/dealers and registered investment advisors. Led finance, commissions, licensing and registrations, due diligence and strategic partner relationship management functions. Held responsibility for financial reporting, accounting, financial analysis, strategic spending, audits, budgeting and forecasting, cash management, tax planning, deferred compensation plan administration, product approval, commissions processing and services, and registered representative licensing and registration, as well as managing strategic relationships with mutual fund and insurance companies.
- Experienced with acquisitions, divestitures and mergers, and direct contact with federal and state regulators.
- Developed key financial tools which were instrumental in analyzing acquisition opportunities
- Implemented operational risk management program for Advisors Network in 2005.
- Managed oversight of 80 associates in four locations.
- Contributed to worldwide ING finance project to make finance organization better business partner, with particular emphasis on improving HR aspects of finance organization. Project spanned a two year period with travel to both Europe and Asia and helped to solidify relationships with ING's CFOs in offices throughout Europe, Asia and the Americas.