Financial services professional and licensed Certified Public Accountant with ov

er twenty-five years securities industry experience.

Extensive experience with major Federal and FINRA rules pertaining to hedge-fund
, asset management and broker-dealer activities.
Resourceful problem solver with keen analytical strengths. Possess strong writte
n, research, investigative and administrative skills.
NYS CPA License 102278
Possess Series 4, 7, 9, 10, 14, 24, 27, 53, 55 & 63, New York State Notary Publi
c licenses.
* Compliance Management * Accounting * Net Capital and FOCUS Reporting * Auditin
g * Transaction Review and Surveillance * Anti-Money Laundering/Patriot Act * Cu
stomer Protection Rule * Policies/Procedures Implementation * Regulatory Filings
* Annual CEO Certification * Email Surveillance * OATS, TRACE & MSRB Reporting
* Registration & Continuing Education * Sales Literature Review * Fixed-income O
perations Management * Investor Relations
EXPERIENCE:
Airlie Opportunity Capital Management LP
Chief Compliance Officer
October 2007 - Present
- Manage and monitor policies and procedures for the general operation of a hedg
e fund Compliance Program.
- Conduct annual review of Airlie's compliance program in conjunction with IA Ac
t Rule 206(4)-7.
- Promote culture of compliance through on-going communication, periodic seminar
s, news and regulatory updates.
- Function as independent reviewer to ensure compliance issues are evaluated, in
vestigated and resolved.
- Monitor the adherence to the company Code of Ethics and related activities.
- Oversee several executive and management compliance committees instituted for
risk management.
Buchanan Associates
June 2007 - September 2007
Provided accounting, regulatory reporting and compliance advisory services for r
etained clients in the securities industry.
MJ Whitman LLC (Affiliate of Third Avenue Management LLC)
Compliance Officer
September 2004 - May 2007
* Coordinated a comprehensive program to ensure regulatory compliance for a limi
ted-purpose broker-dealer.
* Conducted surveillance of equity and fixed-income transactions done for custom
ers and asset-management affiliate.
* Assisted in the preparation and review of Net Capital computations and FOCUS r
eports.
* Performed a review of affiliate's processes for billing $25 million of managem
ent fees for fiscal year 2006.
* Wrote supervisory procedures and processed regulatory filings.
* Served as primary contact during NASD examinations and inquiries.
* Deputy AML Officer.
Tradition Asiel Securiites Inc.
VP Operations/Compliance
July 1998 - September 2004
* Coordinated a comprehensive program to ensure regulatory compliance for an int
er-dealer broker.
* Directed transaction surveillance, writing of supervisory procedures and prepa
ration of regulatory filings.
* Assisted in the preparation and review of Net Capital computations and FOCUS r
eports.
* Firm's Anti-Money Laundering Officer. Allied member of the NYSE.
* Served as primary contact for all regulatory examinations and inquiries.
* Managed the clearing of a daily volume of $20 billion of repurchase and cash m
arket transactions through the FICC.
* Responsible for transaction processing, daily accounting and reconciliation of
clearance accounts.
* Redesigned back-office workload by recruiting securities processing vendors an
d clearing banks.
* Oversaw money-market, emerging market and MBS trade settlement. Supervised a s
taff of seven.
Sakura Securities (USA) Inc.
AVP Accounting/Operations/Compliance
February 1995 - July 1998
* Supervised daily clearance of $3 billion of government securities and repurcha
se transactions. Managed a staff of three.
* Performed general ledger analysis, month-end closings and journal entries. Pre
pared depreciation schedules.
* Responsible for P & L, financial reporting, cash management, account reconcili
ation, net capital and customer protection computations, FOCUS report preparatio
n, risk management and counterparty credit analysis.
* Coordinated a program to ensure regulatory compliance for a bank-affiliated br
oker-dealer servicing institutional accounts.
Lehman Brothers Inc.
Regulatory Auditor
November 1993 - February 1995
* Designed and supervised compliance audits of NYSE, equity derivatives, financi
al futures, NASDAQ, and government securities trading departments. Delivered fin
dings to senior management.
NASD/FINRA-Dist #10 NY
Govt. Securities Examiner
November 1989 - October 1993
* Oversaw financial and operational examinations of primary dealers in US govern
ment securities and NASDAQ market firms. Trained new employees.
* Analyzed and audited member firms balance sheets, net capital, 15c3-3 computat
ions and FOCUS reports.
Wertheim Schroder & Co. Inc.
Government Securities Trader
April 1986 - March 1989
* Maintained proprietary trading accounts in the zero to two-year note and zero
to three-month bill maturity sectors.
* Executed transactions in mortgage-backed and zero-coupon securities.
* Handled institutional and retail odd-lot orders throughout the yield curve.
Wertheim Schroder & Co. Inc.
Trade Support
January 1985 - April 1986
* Calculated profit and loss, wrote management reports and reconciled clearance
accounts.
* Input trades into back-office system and cleared them through the Fedwire.
Prudential Bache Securities
May 1983 - December 1984
- Conducted P&L analysis for customer accounts subject to arbitration.
- Researched discrepancies in customer's accounts and authorized corrective jour
nal entries.
State University of New York College at Old Westbury
MS, Accounting
St. John's University - Peter J. Tobin College of Business
MBA, Finance
State University of New York at Oswego
BS, Business Administration