Alan J Woods

• Founded company, developed Business and Sales & Marketing plans, oversight of 15 staff members

• Generated 6-figure sales annually; established strong 250-account customer base, 100% organically grown

• Successfully sold company in 2018 for a profit

• Global head of a shared services department responsible for the development, quarterly production and dissemination of more than 15,000 pages of multi-lingual marketing collateral consumed globally by Sales; ensuring consistency of information across multiple platforms and departments

• Developed a Concierge Services team, which was created to establish and maintain relationships with internal customers (e.g. Sales and Client Service), fielding and replying to all inquiries as well as educating on self-service solutions

• Oversight of 35 staff members in 7 locations across 5 countries; direct supervision of 5

• Managed development, production and distribution of shareholder reports for more than 200 exchange-traded fund ("ETF") products, including corresponding audits across 5 separate reporting cycles
• Managed production of, and ensured timely SEC regulatory filings (e.g. Forms N-SAR, N-CSR, and N-Q) in accordance with the Investment Company Act of 1940
• Analyzed shareholder report printing and mailing; recommended change that resulted in 15% reduction in expenses or approximately $1M annually
• Managed Disclosure Controls and Procedures (“DCP”) process
• Accumulated metrics to assess performance of third-party providers

As an expatriate living in Luxembourg, led Transamerica Asset Management's development of offshore operations, including:

• Established offshore operating company, IDEX International
• Established investment product (SICAV) with several offerings
• Negotiated and executed several sub-advisory agreements with asset management firms
• Conducted RFP’s; negotiated and executed custodial, transfer agency and fund accounting agreements
• Evaluated existing distribution channels as well as negotiated and executed distribution agreements

• Led Aegon's effort to establish offshore investment products, operations and distribution
• Evaluated various international locations based upon cultural, tax, and regulatory environments in conjunction with locale reputation and experience; selected Luxembourg as international headquarters
• Developed business and marketing plans
• Served on Investment Company Institute’s Global Development’s Committee, now ICI Global

• Oversaw functions of fund administration, fund accounting, regulatory compliance, expense and tax
• Oversaw internal and external audits; company’s liaison for external auditors and SEC auditors
• Annual and semi-annual reporting, including preparation, audit coordination and publishing; redesigned financial reports that resulted in an “A” rating from Morningstar. Also converted platform for financial reporting from spreadsheets to databases; improved efficiency by 50% and improved audit review process and accuracy of reporting by 95%
• Ensured SEC filings (N-Q, N-SAR, N-CSR, N1-A, EDGAR, etc.) were completed and filed timely
• Ensure Investment Company and its offerings were in compliance with the Investment Company Act of 1940 and the Securities Act of 1933; designed database program that automated portfolio compliance review and generated formal reporting to senior management and the Board. Also developed compliance matrix tool that encompassed all fund, SEC and IRS regulatory restrictions
• Reduced fund expenses by enacting stringent budget and review process, including regular competitive bids for services such as Transfer Agency, printing, mailing, etc.
• Pricing committee member
• Developed procedures manual; managed business continuity planning

• Daily communication of available cash to portfolio traders
• Processing of portfolio trades
• Projection of income and expenses
• Daily NAV calculations and publishing
• Monthly audits, financial closings, and financial reporting