Director Finance, Director Financial Risk, Director Financial Planning and Analy Resume

Candidate Pitch:

Results-driven and accomplished professional with extensive experience in the financial services industry, specializing in development and implementation of investment strategies for high-net-worth individuals, family offices, and institutional investors. Equipped with a proven track record of delivering valuable leadership, strong investment performance and exceeding client expectations. Expert in portfolio management, investment analysis, and financial planning critical in mitigating potential risks and meeting revenue targets. Well-versed in navigating complexities of the global markets and providing investment advice to diverse clients vital in achieving financial goals. Noted for exceptional performance resulting in back-to-back promotions. AREAS OF EXPERTISE ASSETMARK, INC.  Phoenix, AZ (2015–Present) Director, Risk and Platform Revenue Nov 2022–Present • Direct the revenue and expense functions across multiple business channels with focus on accuracy and completeness of all collections and payments. • Exemplify effectiveness in carrying out diverse roles and responsibilities including the following: o Second line of defense: Implement framework, policies, tools, and techniques in support of more than 50 internal controls, while ensuring compliance with Employee Retirement Income Security Act (ERISA) and Securities and Exchange Commission (SEC) requirements; and o Product owner: Administer all advisory fee and revenue development initiatives encompassing digital platforms, financial reporting, retirement planning, and core turn-key asset management flatform business. • Effectively manage continuous improvement initiatives for revenue analysis of a $100B company, along with the collection of over $200M quarterly. • Assess and mitigate operational risks associated with efficiency improvements by developing and implementing systematic internal and external stakeholder reporting and analytics. • Facilitated internal revenue risk self-assessment that simplified the evaluation of internal controls against financial reporting and enterprise risk management (ERM). • Serve as the revenue process owner for Sarbanes-Oxley SOX compliance, with task of managing and presenting revenue and asset-based expense processes, including audits of associated controls. • Oversee control and process design, ensure control completion, and update control descriptions. • Deliver detailed presentations to the SOX Steering Committee and ERM Committee on revenue cycle. • Design and implement revenue and expense control processes, ensuring compliance with SOX Act Section 404A/B requirements through Committee of Sponsoring Organizations (COSO) and Control Objectives for Information and Related Technologies (COBIT) frameworks. • Oversee compliance with regulatory requirements governing advisory fees charged to managed models including the Adviser Act, Investment Company Act, Internal Revenue Service (IRS) regulations, and SEC guidance interpretations. Risk Manager Oct 2020–Nov 2022 • Took charge of revenue- and expense-related control activities for a publicly traded registered investment adviser. • Established a standardized revenue risk management program to determine regulatory and operational risks associated with revenue processes, assess control design, address deficiencies, and track results. • Liaised between the Controllership Team and revenue process owner, fostering growth and development of risk analysts, along with strategic recommendations to optimize the financial reporting and advisory fee collection infrastructure. • Functioned as the key point contact for internal and external auditors on advisory revenue, which involved revenue flow chart and risk control matrix.   Risk Analyst Feb 2019–Oct 2020 • Drove the critical risk analysis activities for an asset portfolio of $60B to identify, assess, and mitigate potential risks in relation to revenue processes and regulatory impacts. • Leveraged expertise to provide guidance and support across various firm activities and emerging operational areas. • Strengthened the company infrastructure by performing risk assessment and providing strategic recommendations. • Created innovative automated auditing solutions to help new publicly traded firms in achieving compliance with SOX 404. • Utilized expertise in revenue analysis and data integration to support multiple acquisitions and integrations with a combined asset under management (AUM) of $5.7B. • Assumed responsibility for providing custom investment performance reports to the largest firm relationships and developing risk models for data metrics in support of business case assumption and improvement. • Ensured compliance with regulatory requirements including the Form ADV, Internal Revenue Code (IRC), IRS, and SEC regulations by administering fees charged to managed exchange-traded funds (ETFs), mutual funds, and individually managed accounts (IMAs). • Evaluated sources of revenue yielded across a portfolio of $60B assets by performing quarterly audits. • Observed adherence to SOX Act of 2002 by regularly collaborating with external auditors to conduct audits of internal controls over financial reporting. • Served as an active member of the Investment Performance Oversight Committee responsible for overseeing changes to investment and composite performance, reviewing current processes and company-wide mandates, as well as evaluating managers’ performance for third-party strategies offered on the platform. • Generated $8K to $11K monthly cost savings by determining operational gaps and implementing revenue process enhancements. Platinum Relationship Manager Jan 2018–May 2019 • Oversaw a portfolio of 10 high-priority client relationships with a minimum of $75M in assets each and a total book value of $2.5B. • Worked closely with advisors to facilitate of transactions and optimize overall performance, including analysis of managed accounts to measure results and attribution. • Provided educational support to advisors on various investment management best practices, highlighting the advantage of using AssetMark's "Investing Evolved" philosophy to portfolio construction. • Showcased extensive expertise in multiple areas including asset allocation, advisory fees, and investor tax reporting. • Aided advisors in conveying investments results to their clients. • Received the 2018 Hero Award and Q2 2018 Innovator of the Quarter for outstanding performance and dedication to excellence. Gold Relationship Manager May 2017–Jan 2018 • Held responsible for a portfolio of $1.5M to $1.9B, while driving process and operational enhancements. • Structured business requirements and fulfilled productivity standards by fostering strong relationships with independent financial advisors and staff. • Made major contribution by bringing $600M in new net flows to the territory. • Earned promotion to liaise and build strategic relationships with high-net-worth advisors across the Bay Area, Northern and Southern California, Hawaii, and the Pacific Northwest. Regional Relationship Manager Aug 2015–May 2017 • Offered exceptional investments and client services by addressing concerns with high-profile advisors and proactively advocating for strategic solutions adoption. • Stayed abreast of changes in relevant regulations and laws impacting each fund. • Worked with over 350 financial advisors across three regions covering California, Hawaii, Idaho, Nevada, Oregon, and Washington, and helped manage the largest book of business at the time with $1.5B in collective assets. • Gained commendations for continuously surpassing expectations of advisors and sales partners across three regions, including the Associate of the Year award in 2016.   Advisor Services Relationship Manager Jan 2015–Aug 2015 • Made an average of 50 calls to financial advisors daily, offering personalized support to address their specific needs and concerns. • Expertly dealt with tax compliance and reporting needs by collaborating directly with individuals, trusts, and companies. • Monitored requests in Salesforce and maximized data to determine trends and meaningful training opportunities. Bachelor of Arts in Business Management and Managerial Finance, Dec 2013 Western State Colorado University  Gunnison, CO Gunnison NCAA Collegiate Athlete (Football) Chartered Financial Analyst (CFA) Institute Control and Process Design Financial and Risk Modeling  Investment Banking Strategy Development and Execution Regulatory Compliance  Revenue Source Optimization | Internal Control Evaluation  Revenue Risk Management Asset Management and Allocation  Financial Reporting and Presentation  Team Leadership and Collaboration PROFESSIONAL DEVELOPMENT Certificate in Financial Accounting, 2023 Harvard Business School Online 5-Year Professional Learning Milestone, 2023 Certificate in Investment Performance Measurement (CIPM), 2019 Chartered Financial Analyst (CFA) Institute Certified Sarbanes Oxley Expert (CSOE), 2022 Sarbanes-Oxley Compliance Professionals Association (SOXCPA) Financial Modeling and Valuation Certification, 2018 Selected Coursework: Financial Statement Modeling, Discounted Cash Flow (DCF), Trading and Transaction Comps, Mergers and Acquisitions (M&A), and Leveraged Buyout (LBO) Wall Street Prep, Inc Series 6: Investment Company and Variable Contracts Representative, 2015 Financial Industry Regulatory Authority (FINRA) ACTIVITIES Participant, National Football League Regional Combine, 2014 TECHNICAL ACUMEN Microsoft Office Suite (Excel Power User) | Visual Basic for Applications | Paxata  Salesforce)  Tableau Custodial Training and Recordkeeping Websites (Fidelity WealthCentral, Pershing NetX360, and Refinitiv Thomson ONE