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Summary

Senior-level finance, operations, marketing, and corporate development professional

An experienced, hands-on, operational leader with comprehensive relationship-building skills and advanced supervisory acumen. Expertise in global operations management, finance, marketing, compliance, strategic leadership and business development in various industries, most notably in financial services.  Demonstrated skill and knowledgeable with multicultural teams and remote leadership. Self-confident, organized, and motivated. Brings creativity and an entrepreneurial spirit to all business endeavors. Degrees in Finance and Global Management.

Work History

2014Present

Managing Partner

KleanSlate LLC
  • 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

20112013

Director of Global Business Services

Franklin Templeton Investments
  • Global head of a shared services department responsible for the development, quarterly production and dissemination of more than 15,000 pages of multi-lingual 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

20092011

Director of Fund Administration

BlackRock (previously Barclays Global Investors)
  • 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
20032009

Director/Senior Manager

Management Consultant

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

  • Pre- and post-merger analysis and integration
  • Financial planning and analysis (fp&a)
  • Financial and operational process flow analysis and re-engineering
  • Sarbanes-Oxley Section 302 and Section 404 compliance, including:
    • process documentation
    • process mapping
    • control identification and 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, pharma / healthcare, shipping / transportation, hospitality, telecommunications, technology, and construction
20012002

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 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
20002002

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
19952000

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
19921995

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%
19871992

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

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)

Education

Certifications

19972003

Series 7

FINRA (NASD)
19972003

Series 63

FINRA (NASD)

Expertise and Key Competencies

Expertise

  • Financial services
  • Mutual funds
  • Exchange-Traded Funds (ETFs)
  • 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

scientia est potestas

Knowledge is Power