ANTHONY J.

GIARDINA, CPA
14 Darien Place
East Northport, NY 11731
(631) 834-2016
agfd8e70@westpost.net
CHIEF FINANCIAL OFFICER/CONTROLLER
Hedge Funds, Private Equity, Fund-of-Funds, Broker-Dealer
Executive with CPA, MBA and 15+ yearsa hands-on finance & accounting experience
in the capital markets segment. Expertise spans all core facets of finance, oper
ations, process improvement, internal controls and valuations, and includes deep
, rich knowledge of US GAAP and SEC compliance. Well-established administrative
successes, including HR, IT, vendor relations, facilities, and more. Respected b
usiness partner able to build highly productive internal and external relationsh
ips.
Areas of Expertise:
Forecasts & Budgets
Financial Reporting & Analysis
Accounting Operations
Policy Development
US GAAP & SEC Compliance
Audits
Taxes
Internal Controls
Technology Migrations
Technical Proficiencies:
Great Plains
Dynamics SL
MAS 90
Power Olap
Bloomberg
Wall Street Office - STARS Portfolio Management System
PROFESSIONAL EXPERIENCE
STANFIELD CAPITAL PARTNERS LLC, NEW YORK, NY, 2006-PRESENT
$5B+ AUM and leading asset manager of alternative fixed-income strategies throug
h CLO structured funds and managed accounts.
Chief Financial Officer, 2007-Present
Led full-scope finance and accounting activities -- budgets and forecasts, month
ly closings and related financial reporting and management presentations, intern
al controls, compliance, audits, SEC relationships, taxes, and more. Handled all
investor subscriptions and distributions as well as Best Execution, Operating,
and Pricing Committees. One direct report.
* Saved $3.7MM in future rent commitments related to 11,000 sq. ft. of space vac
ated by spinoff of a hedge fund business. Gained agreement from landlord to term
inate lease and deal directly with subtenant.
* Generated $94K annual savings by selecting and partnering with a Professional
Employer Organization (PEO) to provide the firmas medical, dental and vision cov
erage in 2010.
* Delivered 24% reduction in operating costs through comprehensive expense analy
sis and business case proposal.
* Commended by the Asst. Regional Director of the SEC for being aresponsive, tho
rough and organizeda during an SEC audit of trading procedures and valuation pra
ctices.
VP, Finance, 2006-2007
* Cut monthly financial statement preparation time from 5 days to 2 days by mapp
ing new chart of accounts and new procedures for posting monthly expenses and ad
justments.
* Played key role in spinning off a $2B long/short hedge fund. Calculated and tr
acked the purchase price of the business.
* Introduced what-if scenario analysis by installing the OLAP budgeting system.
* Delivered an efficient, accountable method of collecting expense reimbursement
s from managed funds by analyzing fund expenses and preparing a spreadsheet deta
iling expense charge backs.
JESUP & LAMONT SECURITIES CORPORATION, NEW YORK, NY, 2005-2006
Full-service broker/dealer and investment bank with 100+ employees in 7 East Coa
st office locations.
Chief Financial Officer
Directed finance and account operations, including financial statements, managem
ent reporting, internal controls, and compliance. Oversaw HR and IT as well as f
acilities, vendor contracts and leases. Built relationships with clearing broker
, auditors and SEC. Special emphasis on training and development of 5-person fin
ance and operations staff.
* Dramatically improved accounting data controls by converting accounting system
from QuickBooks to Solomon (now, Dynamics SL).
* Improved broker satisfaction and company controls by developing a system to ac
count and reconcile payouts to commissioned brokers.
* Launched new branch office ? negotiating office and equipment leases, preparin
g budget and tracking performance.
COMMONWEALTH ASSOCIATES GROUP HOLDINGS LLC, NEW YORK, NY, 1995-2005
Diversified financial service company managing private equity and hedge funds, a
leveraged fund-of-funds, various investment partnerships, and a registered brok
er/dealer specializing in PIPES.
Chief Financial Officer, 2004-2005
Orchestrated finance/accounting functions for 22 entities. Scope included entity
formation, GAAP-compliant accounting operations (closes, reconciliations and fi
nancial reviews), consolidated financial reporting, and tax matters. Liaised wit
h third-party administrators, NASD, SEC, and auditors. Oversaw Administration, i
ncluding vendor services, payroll, firm policies, insurance, and more. Two direc
t reports.
* Executed near-flawless transition of all books and records from New York to ne
w Florida headquarters. Trained new CFO, effecting seamless shift of responsibil
ities.
* Secured subtenant for the NY office space, saving firm more than 50% of the mo
nthly rent. Reduced the Net Capital requirement of the broker dealer by establis
hing relationship with the subtenant that resulted in an offer to dual register
employees holding Series 7 licenses.
Controller, 1996-2003
* Achieved 8-year record of zero audit adjustments at year end.
* Developed T&E policy to gain/maintain consistency in employee expense reimburs
ement.
* Completed corporate relocation on time, within budget and with limited disrupt
ion to staff. Managed architect and general contractor and all phases of constru
ction and physical move.
Assistant Controller, 1995-1996
* Saved firm $45K by identifying a duplicate invoice payment on Day 2 of job.
PREVIOUS ACCOUNTING EXPERIENCE:
Senior Accountant, Ernst & Young, 1993-1995
Junior Accountant, Berenson & Company LLP, 1989-1993
EDUCATION AND LICENSES
MBA, Finance and BBA, Accounting, Hofstra University, Hempstead, NY
Certified Public Accountant ? State of New York
Notary Public
PROFESSIONAL AFFILIATIONS
NYS Society of Certified Public Accountants