Languages / Geographies

Languages:
  • English - fluent (native)
  • Portuguese - proficient (conversational and written)

Geographies - full authorization to work for any company in:

  • United States (citizen)
  • European Union - married to EU citizen)

Interest

Family-related activities, gardening, travel, genealogy, networking, computers, sports

Expertise and Key Competencies

Expertise

  • Financial services
  • Mutual funds
  • Exchange-Traded Funds (ETF)
  • Investment management
  • Insurance – variable annuity, variable life, universal life
  • Insurance separate accounts
  • Investment company operations
  • Registered Investment Company (RIC)
  • Offshore investment products (SICAV / UCITS - Undertakings for Collective Investment in Transferable Securities)
  • Cross-border distribution
  • Consulting

Key Competencies

  • Leadership
  • Management
  • Client service
  • Business development
  • Corporate development
  • Strategic planning
  • FP&A (Financial planning and analysis)
  • Budgeting, forecasting, variance analysis
  • Vendor selection, vendor management
  • Contract negotiations, contract management
  • Request for proposal (RFP) / request for quote (RFQ)
  • Finance, accounting, investment accounting
  • Custody, administration
  • Financial reporting
  • Transfer Agency (shareholder servicing)
  • 1933 Securities Act
  • Investment Company Act of 1940
  • SEC regulatory reporting
  • Board reporting
  • Compliance, risk management
  • Product development
  • Sarbanes-Oxley (SOX)
  • Control assessment and risk reduction
  • Process improvement
  • Policies and procedures
  • Co-sourcing and out-sourcing solutions

Summary

Senior-level marketing, finance and corporate development professional

Contributing from a strategic capacity where my experience working for multi-national companies with responsibility in marketing operations, corporate development, investment company accounting, administration, financial reporting, compliance, budgeting, forecasting, and international / offshore operations will provide tangible results to a company, business unit or department, and have bottom-line impact.

Work History

Work History
2011 - Present

Director, Global Business Services

Franklin Templeton Investments

Lead a global team responsible for generating marketing and sales collateral in support of sales and client-service worldwide across institutional, retail, and international distribution channels. With staff of 30+, the team delivers project coordination, management and development expertise around design, production and on-going scheduled maintenance of collateral such as Fact Sheets, Product Profiles, Sales Presentations, Fund Manager Reports, etc.

2009 - 2011

Director of Fund Administration

BlackRock (previously Barclays Global Investors)
  • Manage development, production and distribution of shareholder reports for more than 215 exchange-traded fund ("ETF") products
  • Manage production of, and ensure timely regulatory filings such as Forms N-SAR, N-CSR, and N-Q in accordance with the Investment Company Act of 1940
  • Oversight of audits; 5 different reporting cycles
  • Analyzed shareholder report printing and mailing; recommended change that resulted in 15% reduction in expenses or approximately $1M annually
  • Manage Disclosure Controls and Procedures (“DCP”) process
  • Accumulated metrics to assess performance of third-party providers
2003 - 2009

Director/Senior Manager

Independent Consultant

Served in the capacity of Engagement Manager and Project Lead for more than 10 clients on 15 engagements pertaining to:

  • Sarbanes-Oxley Section 302 and Section 404 compliance, including:
    • process documentation
    • process mapping
    • control assessment
    • risk analysis
    • testing of controls for design and operational effectiveness, and
    • remediation
  • Co-sourced and out-sourced Internal Audit
  • External audit staff augmentation

Served clients, both internationally and domestically within the industries of:

  • financial services, manufacturing, healthcare, shipping / transportation, real estate, hospitality, construction, technology, and telecommunications
2001 - 2002

Managing Director

AEGON - Transamerica Asset Management (formerly IDEX Mutual Funds)

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

  • established operating company
  • 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
2000 - 2002

VP, Director of Global Business Development

AEGON - Transamerica Asset Management (formerly IDEX Mutual Funds)
  • Researched expansion opportunities globally; selected Luxembourg as international headquarters
  • Evaluated various international locations from which to establish international headquarters based upon cultural, tax, and regulatory environments in conjunction with locale reputation and experience
  • Developed business and marketing plans
  • Served on Investment Company Institute’s Global Development’s Committee
1995 - 2000

Manager of Financial Reporting & Compliance

AEGON - Transamerica Asset Management (formerly IDEX Mutual Funds)
  • 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
1992 - 1995

Senior Fund Accountant

AEGON - Western Reserve Life (WRL)
  • Daily NAV calculations for underlying insurance products
  • Daily UAV calculations for variable annuity and variable life insurance seperate accounts
  • Account reconciliations (e.g. policy suspense accounts)
  • Annual Green Book statutory filing preparation
  • Automated daily senior management report, which included key product metrics, reducing total preparation and distribution time by 50%
1987 - 1992

Senior Fund Accountant

The Vanguard Group
  • 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

Education

Education

Certifications

Certifications
1997 - 2003

Series 7

FINRA (NASD)
1997 - 2003

Series 63

FINRA (NASD)