- Executive Client Management
- Systems Conversion and Integration
- Vendor Management,
- Project Management
- Team Building
- Client Relations
- Operational Development
- Strategic Planning
- Government Compliance
Senior Operations Executive with experience in both investment management and financial services. Possesses the expertise in financial services industry that spans every aspect of operations from client facing through back office. Achieves excellence in exceeding revenue and profitability targets, reducing costs, improving gross margins and positively impacting EBITA. Identifies, establishes and directs effective internal and external communications in a supportive cooperative environment. Creates and implements cohesive strategies to tackle any operational challenge. Builds strong teams and provides stewardship within multi-disciplinary multi-national teams.
- Microsoft Office
- Microsoft Access
- Database Connectivity
- Morningstar Direct
- Strategic Insight
- Sales Connect
1993 to 2000 PFPC (also known as First Data)
Relationship Manager 1998-2000
Vice President of Fund Administration 1994-1998
Director of Fund Administration 1993-1994
Jun 1990 - Present
Fund Plan Services
1990 to 1993 Fund Plan Services
Account Manager 1991-1992
Telephone Service Rep 1990-1991
Oct 2011 - Present
Senior Operations Analyst
- Develop and Implementation investment manager products
- Development of a central security master solution
- Maintain relationships with primary reference data providers
- Review and Solve data integrity issues or errors
Nov 2007 - Jul 2011
Head of Investor Services & Operations
Aberdeen Asset Management
- Planned and implemented 2 Transfer Agent and 1 fund accounting system conversion
- Completed review and recommendation of third party service provider for accounting, administration and transfer agency functions
- Created and implemented mutual fund operation oversight department overseeing $3 billion in assets.
- Planned and implemented over 70 mutual fund mergers
- Maintained relationships with 15 different service providers related to operations and service including transfer agent, custodian and fund accounting.
- Supervised several operational departments consisting of 10 seasoned professionals specializing in all administration functions
- Supervised a two-person dealer services unit
- Leadership Role in all decision making for US operations department of global asset manager
- Created and reviewed all department and US registered budgets and forecasts
- Developed and implemented processes and procedures that were in compliance with Securities and Exchange Commission regulations including Sarbanes Oxley and CCO manual
- Implemented internet operations functions within investor services department
- Systems Administrator for Salesforce.com, Sales Reporting and U.S. Website
- Authorized principal on all dealer contracts.
Aug 2000 - Nov 2007
Nationwide Fund Services
- Converted offshore relationship to new provider resulting in savings to investment Management Company of $500,000 annually
- Completed review of trading platform vendors and coordinated resulting implementation.
- Coordinated RFP and due diligence analysis of performance measurement systems and capabilities.
- Completed conversion of $18 billion in assets to new custodian resulting in 40% reduction in fees for shareholders
- Responsible for Board meeting coordination including planning, preparation and execution.
- Supervised Project management department consisting of two associates
- Supervised a six-person dealer services unit
- Modified existing mutual fund expense agreements resulting in $6 million annual savings for investment management firm.
- Modified shareholder confirmation statement and frequency resulting in 50% reduction in fees for production and delivery to shareholders.
- Renegotiated mutual fund agreement with outsource provider resulting in $2 million annual savings and a variable cost structure being established.
- Developed business strategies to establish data warehouse for mutual fund transfer agency and fund accounting data.
- Relationship Management responsibility for Outsourced service provider for $33 billion mutual fund group consisting of 80 portfolios and 358 classes.
- Relationship manager for $200 million offshore mutual fund outsourced relationship.
- Negotiated Service Level arrangements with financial incentives with service providers.