Lia Goff

A successful engagement is helping clients find the right answers, even the ones they didn’t know they were looking for.

Lia is a senior Finance professional with over 30 years of experience in all aspects of Accounting, Finance, Operations and Human Resources in the securities brokerage industry. Lia’s industry experience allows her to provide diversified operational management, internal controls, financial modeling, accounting, auditing, human resources, project management, regulatory reporting experience, as well as extensive brokerage, operational risk, control and regulatory concept knowledge. Prior to joining in Oyster, Lia served as CFO and HR Director for Capitol Securities Management, Inc. where she was responsible for all critical aspects of daily operations.

Expertise

• Project manager/lead, worked with a cross-functional team of associates to develop the ongoing operating models, as well as managing post-acquisition data conversion and integration projects. Advisor to operations and finance units and business partners in developing and integrating processes and procedures in the consolidated environment. Participated in the due diligence process to assess the viability and profitability of acquiring investment firms.
• Developed and maintained annual revenue and expense budgets for broker-dealer, insurance agency and holding company
• Financial modeling, profitability models and financial advisory compensation plans
• Provided detailed and oversight review of various regulatory filings
• Led a team to integrate a premier compensation system
• Partnered with senior management in a year-long conversion of existing back-office computer mainframe system to an updated version
• Managed the accounting and billing departments, supporting the correspondent client, independent financial advisor, Latin America and direct/on-line brokerage business lines
• Led a team of analysts that managed monthly flow of income and expenses for roughly 130 Introducing Firms within the Correspondent Client Group of Wachovia Securities
• Conducted contract audits of correspondent billing system, which resulted in revenue opportunities over $1 million
• Managed and reported accounting close for four revenue-producing channels. Reduced closing to a two-day process
• Responsible for all aspects of Human Resources including employee benefits, 401K plan management, payroll, and agent for stock transfers
• Business Continuity planning and disaster recovery coordination

Career Highlights

• CFO / HR Director, Capitol Securities Management, Inc.
• Controller, Independent Brokerage Group, Wachovia Securities
• Senior Manager, Performance and Control, Wachovia Securities
• Manager, Regulatory Reporting, Wachovia Securities
• Senior Regulatory Accountant, Wachovia Securities
• Staff / In-Charge Accountant, KPMG Peat Marwick, LLP