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Financial Services Review: Specials Magazine
Phillip Austin, CPA, CA(SA), is Head of the National Office of Professional Practice, Quality, Risk and Independence at EisnerAmper LLP. With decades of global experience, he has led risk, assurance and firm leadership across multiple geographies. His professional journey spans client service, audit quality, regulatory oversight and large-scale audit transformation initiatives, giving him a broad perspective on how firms navigate risk, governance and change. Preserving Audit Quality and Trust My understanding of risk was shaped by the years spent alongside clients facing difficult realities, be it companies going into bankruptcy, businesses watching their products become irrelevant or organizations trying to stay afloat in hostile economic conditions. Working through these situations offered a first-hand view of complexity, where decisions carried significant consequences for employees, customers, investors and communities. Those experiences laid the foundation for later leadership roles with even greater responsibility. Serving as a reputation risk leader across seven countries in sub-Saharan Africa during a period of serious political and economic upheaval meant making critical decisions in environments devoid of clarity. Those challenging environments shaped my approach to leadership: when clarity is scarce, frameworks matter. Get the facts right, understand what the standards require, leverage institutional memory and make sure to reach an agreement across the organization. The bigger the risk, the greater the need for that alignment because audit quality is built at the intersection of judgment, discipline and culture. If any element is missing, the outcome is compromised. This discipline is especially critical today with the rapid adoption of AI. It can synthesize information far faster and more clearly than any individual, removing the administrative friction that slows human judgment down. But when used without guardrails, it can introduce gre
CPA Firms
By the time most business owners see their tax bill, every decision that created it is already final. The entity structure was chosen years ago. The compensation model was set in January. The building sold in June. What arrives in April is not a result to be managed. It is a receipt. “Most accountants report history,” says Hampton Honeycutt, owner of Honeycutt Financial Solutions (HFS). “We change it before it happens.” The distinction, he argues, is not talent. It is capacity. A firm running payroll for forty companies, filing sales tax returns, and closing monthly books has spent its year before the year begins. That work is real, and entirely backward-looking. Nobody in that building has an uninterrupted afternoon to ask what a client could have done differently.
Wealth Management
Adams Financial Concepts (AFC) has built its investment strategy around that conviction, combining independent research and concentrated portfolios with a deliberate assessment of each client’s ability to withstand volatility. The wealth management and investment advisory firm invests primarily in domestic companies positioned to benefit from disruption across demographics, lifestyles and technology, seeking businesses with potential to grow substantially over five to 10 years. Its longest-held position was purchased in 1993 and trimmed in 2018, reflecting the firm’s long-term investment horizon. For every client, AFC’s stated objective is to seek to outperform the S&P 500, with dividends reinvested, over a fiveto 10-year period. “The higher the return, the higher the volatility. People lose money when they sell during a downturn. Those willing to ride through are our ideal clients,” says Mike Adams, president and principal portfolio manager.
CPA Firms
Business owners, professionals and high-net-worth individuals rely on Cpatax Services, Inc. when tax considerations begin influencing broader financial decisions. Rather than limiting its role to tax return preparation, the firm helps clients anticipate liabilities and identify legitimate tax-saving opportunities. It also provides the financial visibility needed to manage profitability, maintain healthy cash flow and make informed decisions throughout the year. The firm’s approach reflects the expertise of founder Geralyn A. Jover-Ledesma, a Certified Public Accountant with a Master of Laws in Taxation. Her professional background has focused on understanding complex tax law and applying it to client situations. Before establishing CPATAX, she developed content for several Wolters Kluwer tax research products used by attorneys and accounting professionals. That experience strengthened her ability to evaluate how tax rules affect businesses and individuals. She remains directly involved in client engagements, giving them access to advanced tax expertise without the distance often associated with larger firms. “Our goal is to make sure our clients pay the least amount of tax possible within legal means,” says Jover-Ledesma. Achieving that objective requires support beyond return preparation. CPATAX combines proactive tax planning with accounting and bookkeeping to build accurate financial records that inform year-round tax strategies. It also provides audits, reviews and compilations, giving business clients comprehensive financial reporting and compliance support.
Financial Planning/Retirement
Dealing With Global Tax Compliance
Sergio Vazquez, Transfer Pricing Director, CEMEX
Accounting and Tax Service
The Role Of Accounting In Financial Compliance And The Impact Of Foreign Exchange Rate Fluctuations
Richard Kung, Chief Financial Officer, CTBC Bank Corp. (USA)
Debt Collection Agencies
A Holistic Approach to Digitalizing Internal Audit In Financial Services
Dr. Enzo Tolentino, Head of Corporate Digital Audit, Banco de Crédito BCP
Financial Compliance
Scaling with Compassion as an Operational Imperative
Arlene Cardie, Chief Operations Officer, PowerPay
Wealth Management
Building Trust as a Foundation for Effective GRC Leadership
Jonathan Flink, Director of IT Governance, Risk and Compliance (“GRC”), CPI Card Group Inc.
IN MY OPINION
Claim Adjusting
Management - A Different Ladder
Brandia Bradshaw, Director, Post-Closing & Insurance, Live Oak Bank
LAST WORD
Financial Planning/Retirement
Beyond Comprehensive Planning: The Rise of Advice Orchestration
Joe Gaeckle, Senior Vice President, HNW and Financial Planning Solutions, Osaic Wealth, Inc
IN FOCUS
The Evolving Landscape of Wealth Management: Strategies for the Modern Investor
Wealth management firms help individuals preserve assets, optimise investments, strengthen financial planning, manage risks and achieve sustainable long-term financial success.
EDITORIAL
The New Discipline of Finance
Financial services demand disciplined judgment and constant innovation. Firms must navigate converging risks, rising client expectations and increasingly complex financial decisions. This issue explores how leaders and specialized firms are responding with stronger risk governance, long-term wealth strategies and proactive tax planning.
At the center is Phillip Austin, Chief Risk Officer at EisnerAmper, acknowledged as the Chief Risk Officer of the Year 2026. Austin believes risk management should not be about avoiding the issues, but about finding a way through them safely. It is especially pertinent today as the adoption of AI technologies continues to grow.
The issue’s award-winning firms are examples of how having focused expertise leads to improved financial performance. Top Wealth Management Firm 2026, Adams Financial Concepts, focuses on independent bottom-up research, concentrated portfolios and thorough evaluation of clients' capacity for handling market volatility. CPATAX SERVICES, INC., recognized as Top Business Accounting and Tax Advisory 2026, offers proactive tax planning services, together with accounting and financial reporting, to help clients learn about potential liabilities and make correct decisions throughout the year. Honeycutt Financial Solutions, awarded Top Tax Compliance and Advisory Services 2026, specializes in strategic tax planning, measuring decisions against the “cost of doing nothing”.
This edition recognizes the Top 10 Chief Growth Officers 2026, highlighting financial services leaders advancing growth strategies, client engagement and sustainable business expansion.
The issue also features Brandia Bradshaw, Director, Post-Closing & Insurance at Live Oak Bank, whose leadership perspective frames management as a distinct discipline requiring communication, adaptability, delegation and sound judgment. Joe Gaeckle, Senior Vice President, HNW and Financial Planning Solutions at Osaic Wealth, Inc., examines “Advice Orchestration,” arguing that advisors increasingly create value by integrating expertise, technology and human judgment around a connected client experience.
Together, these perspectives highlight that sustainable financial leadership demands judgment, specialization and coordinated action. We invite readers to explore the issue’s profiles and insights to understand how these principles are shaping the next chapter of financial services.
