Vice President - Finance

Executive

CPA and finance professional with 15 years experience in corporate settings in Sydney, Chicago, Dallas, and San Diego.

SEC-regulated Registered Investment Advisor managing $15bn in high-grade fixed-income portfolios for HNW and ultra-HNW individuals and families.
As Vice-President of Finance and Controller I was hired to architect the financial reporting and control environment, select and install a new ERP system, convert the financial reporting systems from cash-basis to accrual basis, and take the firm through its first GAAP audit in preparation for a liquidity event.
I am responsible for financial and operational oversight, including asset protection, insurance, budgeting, financial reporting and establishing, monitoring and enforcing policies, procedures, and internal controls.

Key responsibilities and achievements:
• Finance lead on the firm's integration with new parent company - PIMCO.
• Member of the due diligence team analyzing the transaction for the 100% equity sale to PIMCO.
• Researched, selected, and implemented an upgraded ERP system (Intacct(TM)) - transitioning the financial records from Quickbooks(TM) including a completely new chart of accounts and comprehensive financial procedures manual.
• Manage a collaborative annual budget process across the firm's decision-makers.
• Designed and constructed an automated monthly management and board reporting package including US GAAP and tax-basis financial performance reporting for the Managing Partners and functional leaders.
• Designed and constructed quarterly management reporting including profitability forecasting, budget variance, and key business statistics for Managing Partners.
• Designed and constructed digital dashboards for the general partners to keep a real-time finger on the pulse of the business.
• Managed the firm's $15m D&O, E&O, Worker's Compensation, Cyber, Fraud, and Property Insurance policy renewals .and coverage.
• Supervise the billing, accounts receivable, and accounts payable functions.
• Supervise payroll for 70 staff across 10 US states.
• Supervise the firm's 401k (retirement plan) program as co-fiduciary with the plan sponsor.

Leading independent financial advisory firm focused on wind, geothermal, solar, and other clean energy markets.
As Controller I was responsible for full operation of the accounting and general finance function of the firm including its FINRA-registered broker dealer in the United States and Registered Exempt Market Dealer in Canada.

Key responsibilities and achievements:
• Responsible for the accounting and reporting - including consolidation and financial statement preparation for the firm's five consolidating entities.
• Managed the firm's annual financial audit and tax return preparation.
• Worked with external accountants to ensure tax compliance and filings in California, Illinois, and New York.
• Assisted with the firm's first external debt financing - raising $2.5m to recapitalize the business.
• Debt covenant reporting across the consolidated group.
• Equity accounting for the group's investments in utility-scale solar projects in Indiana and California
• Assistant Secretary for Marathon Capital Markets, LLC - the firm's broker-dealer and exempt market dealer.
• Supervised and approved monthly regulatory net capital filings prepared by 3rd party FINOP.
• Implemented Expensify(TM) to electronically manage expense reporting and reimbursement for the firm's 20+ travelling bankers.

Controller

Apex Clearing is a full-service clearing firm providing clearing and execution services for brokerage firms and independent broker dealers, with a focus on the Fintech space.   Apex is part of the PEAK6 group of companies.  After working for the groups Online Brokerage firm OptionsHouse - I was recruited to the clearing firm post-acquisition to help structure and develop the finance teams in Dallas and New York, and develop the reporting and control environment for the firm.

Key responsibilities and achievements:
• Member of the due diligence team for the formation of Apex Clearing Corporation.
• General ledger responsibility for the firm's $3.5bn balance sheet.
• Oversaw payroll, 401k, and employee benefits for 160 staff across 6 states
• Managed a team of 5: payroll, accounts payable, and general ledger staff across 2 offices including performance reviews and goal setting.
• Accounts receivable management across 80 correspondents and >500,000 customer accounts.

Find out detailed information about Tristan Cheal, Vice President - Finance in San Diego, CA

Tristan Cheal: Vice President - Finance in San Diego, CA

Tristan Cheal