Jim Koenig

Jim Koenig

Work History

Work History
2011 - Present

Mutual Fund Securities Trader / Specialist

Trust Sourcing Solutions

·Manages the Mutual Fund Securities Desk for a Trust Services company. Coordinates and performs daily mutual fund trading for multiple clients.

·Performs all daily trust operations duties relating to mutual funds.Executes and posts all client mutual fund trades.Builds, updates, and maintains numerous investment models for clients.

·Performs project management duties.Excellent research and problem solving skills.

·Builds and maintains strong Client Relationships.Point of contact for all mutual fund inquiries from clients.

2010 - 2011

Web design & Marketing Entrepreneur

Self Employed

• Self-taught web-designer and search engine optimization analyst focusing on keyword research and writing relevant blog content to gain high organic rankings on Google, resulting in targeted traffic and increased sales.

• Business Development. Utilizing my entrepreneurial talent to identify market niches/trends and developing successful online stores. Implemented strategic business plans to create successful online websites with sustained online traffic. Researched and authored original content blog articles.

• Web design. Built a portfolio of over 40 websites that continue to thrive and produce online sales and ad revenue.

Mar 2008 - 2010

Management Consultant

Enterprise Iron - Financial Industry Solutions, Inc.

Management Consulting - Utilized time management, strategic analysis, organizational, research, mathematical, financial accounting, problem solving, client relationship, written and oral communication skills to advise our client on the remediation of shareholder accounts using an OmniPlus record keeping system to ensure that accounts were accurate and complete, and for the protection and integrity of customer assets.

• Worked on site for major client, TIAA-Cref (Teachers Insurance and Annuity Association - College Retirement Equities Fund.) Helped client move from Legacy to OmniPlus record keeping platform.  Remediation activities were initiated to identify, manage, and resolve participants' financial account problems using complex OmniPlus solutions. Work encompassed resolving high level participant complaints, loans, payroll contributions, distributions, contracts/annuities, and mutual funds.

• Performed complex OmniPlus adjustments on participant accounts as part of a conversion clean-up project from the migration of TIAA-CREF's retirement business from the Legacy platform to the OmniPlus record keeping system.

• One of a select few principal consultants given authority to work on written loan complaints from plan participants. These elevated tasks were performed under strict deadlines and work processes were visible to executive management. Briefed areas of the organization with status updates and performed root cause analysis to document trends into a database system. Reduced financial errors significantly through root cause analysis and by cross training other teams in the organization.

May 2003 - Mar 2008

Corporate Actions & Financial/Reconciliation Controls Specialist

JP Morgan Chase

Financial Controls - over 10 years of experience building skills in operations, corporate actions, training, financial reconciliation, general ledger accounting, business continuity, fund accounting, mutual fund pricing, elite customer service, written and oral communication skills with a global bank.

• JP Morgan Chase. Sole Sr. Financial Controls Specialist for principal client (Procter & Gamble.) Responsible for supervising and organizing the daily financial reconciliation of Procter & Gamble's 4 institutional retirement plans representing over $16 billion in plan assets and 98,000 participants. Created monthly and annual financial reports for Procter & Gamble management and their auditors.

• Planned, organized, tested, managed, posted, and reviewed quarterly dividends in our record keeping system for Procter & Gamble's plan participants, representing over $53,000,000 in dividends per quarter. Submitted common stock trades for the dividend process and supervised adherence to quality controls.

• Managed, researched, analyzed, and resolved all fiscal reconciliation activities at an institutional retirement plan level to ensure timely and accurate resolution of financial differences caused by record keeping activities. Performed financial accounting on large institutional retirement plans (daily participant activity vs. trust.)

• Trained team members on how to balance institutional retirement plan assets (i.e. cash, stock, mutual funds,) and also trained team members on fund/investment pricing duties.

• Disaster Recovery Coordinator for the Financial Controls team. Coordinated and participated in off-site disaster recovery projects to ensure the continuity of business operations in the event of a disaster.

Nov 1991 - May 2003

Stock Trade Coordinator / Cash Disbursements Specialist

American Century Mutual Funds

Stock Trade Coordinator / Cash Disbursements Specialist (1999 - 2003)Financial Specialist (1998 - 1999)IRA Consultant (1993 - 1998)Account Representative (1991 - 1993)

• Coordinated, analyzed, and managed daily stock trades for the Retirement Plan Services Department.

• Rewarded with a $4,000 spot bonus for proactively preventing stock trading errors valued over $120,000. Received department wide recognition from our Chief Executive Officer.

• Managed and maintained the IRA Help Desk. Fielded daily questions from shareholders.

• Team statistics coordinator. Responsible for developing new ideas for increasing the department's efficiency.

• Responsible for accurately processing all work related to the withdrawal of cash and stock from multiple Institutional Retirement Plans. Examples included loans, installments, hardship withdrawals, and redemptions of stock or mutual funds.

• Responsible for the daily balancing of the department's main Clearing Account, including reconciliation of bank wires, checks, and other Institutional money movements.

• Responsible for processing excess contributions, tax code adjustments, indemnification agreements, and minimum distribution calculations.

• Responsible for providing professional service to shareholders by telephone and through written correspondence regarding American Century products and services.


Aug 1986 - Dec 1990


Creighton University

• B.S.B.A. Bachelor of Science in Business Administration, Major in Finance• Elected to Student Board of Governors, representing Business School



AddVantage (Sungard)

HTML code

Microsoft Office

Camtasia Studio 7


IDEAS General Ledger






Board member - Communications Advisory Board for St. Thomas More parish, Volunteer St. Thomas More school, royals baseball, jogging, golf, movies, traveling, reading, family, coaching and learning new things.


Business professional offering over 20 years of experience in the Financial Services Industry. Proven accomplishments in Operations, Management Consulting, Financial Controls, Institutional Retirement Plans, Financial Accounting, General Ledger Accounting, Trust Services, Cash Management and Client Relationships. Competencies include:

•Accountability:demonstrate the ownership necessary for achievingresults — to ‘See It, Own It, Solve It, and Do It.’

•Quality Oriented: dedicated to doing the right things right and providing elite customer service.

•Communication:practice clear, effective, smart, and professional communication.

•Initiative: do more than required or expected without prompting or direction.

•Analytical: systematically gather relevant information and applies logic to solving problems and making decisions.

•Problem Solving: identify problems and by detecting patterns or connections. •Self Directed: operates with little or no direction to successfully achieve goals and objectives. •Adaptable: effectively cope with change; learns quickly; remain open-minded; adjusts to work effectively with a variety of situations, individuals, groups and customers. •Leadership: take pride in having an outstanding work ethic and for achieving success.


Computer Skills / Software Applications:

Word, Excel, PowerPoint, Microsoft Publisher, Access, One Note, OmniPlus, OmniTrade, OmniPlan, ReconNet, IDEAS General Ledger, IDEAS Financial Report Writer, Word Press, HTML, Google Adwords, Sungard AddVantage.