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Engaged to prepare a Capital Plan for a bank at risk of having its dividend eliminated by bank regulators. The regulators accepted the Capital Plan, and the Bank continued to pay dividends at the amount provided in the Capital Plan.

Provided business advisory services to investors looking to raise money to buy a community bank. Services provided included preparing financial forecasts, introductions and evaluations of investment bankers, introductions to sources of capital, determining share ownership of founders and directors, assistance with the private placement memorandum, and providing guidance to founders, board members and management team.

Engaged as the Interim Controller of a $100 million, private-equity-backed financial services company to improve the timeliness of and controls related to its monthly close. Company closed its books and completed its audit in half its previous time. Importantly, it did so with significantly improved controls.

Restructured the AML Compliance program at a major private bank. With the new program, the bank’s existing Cease and Desist Order was lifted.

Set up the audit committee, including: charter, priorities and meeting format for a public company’s Financial Services subsidiary. Solid planning and crisp execution ensured all regulatory and governance requirements were met or exceeded.

Recreated the financials of a subsidiary of a Fortune 500 company to prepare the subsidiary for an outside audit. Audit completed in a timely manner.