An experienced financial professional with a successful career managing risk, performing due diligence, improving operational controls and efficiencies and handling time-sensitive, complex transactions and projects.
12/2009 - Current
Transfer Agency OversightAssociate
10/2006 - 12/2009
Assistant Portfolio Manager
11/2005 - 10/2006
Assistant Vice President
10/2004 - 11/2005
Princeton Control & Equity Institutional Support.
11/2003 - 10/2004
Princeton Control & Equity Institutional Support Manage a team of five Specialists Prepared test plans and data, and user documentation for customer billing system.
Develop a team of specialists with varying experience via mentoring and exposure.
Prepare performance reviews and communicate accordingly.
Promote team environment to foster growth and development.
Participated and completed The Ken Blanchard: Situational Leadership course Reconcile cash and assets for equity Institutional and retail accounts between Merrill Lynch's internal accounting system and the custodian and accounting agent.
Support the investment management business for equity clients by ensuring proper cash reconciliations and communicate any cash risk exposure to the PM/Trader on a daily basis.
Research and resolve all asset discrepancies identified during the reconciliation process and communicate risk related exceptions to all appropriate parties on a daily/weekly/monthly basis.
Ensure accuracy of month end net asset valuations for all equity Institutional separate accounts and prepare non-standard month end reconciliations as requested by client or Portfolio Manager.
Complete nightly pricing of all equity securities and elevate issues to appropriate parties.
Develop and maintain effective business relationships with Middle Office, Data Management, Client Services and external parties.
Assist in the development of new team members.
Recognized as a leader in a team environment with the ability to effectively deal with a variety of skill and experience levels.
Presented with the Special Achievement Award in October 2004 for delivering outstanding business results and sustained value.
Received an Achieved with Distinction rating during the 2004 year-end performance review.
Designed and implemented an archiving process to capture and retain all external and internal financial statements.
01/1998 - 01/2003
Tyler Distribution, IncorporatedAccount Manager
Responsible for overseeing/managing the major customer account for the largest and fastest growing organic food distributor in the United States.
Handle a wide range of customer service issues (including accuracy and timeliness of shipments, inventory control, damaged merchandise, exchanges, credits, etc.) in a timely and highly professional manner.
Oversee billing of this major account and communicate weekly with vice presidents and managers at their headquarters to rapidly coordinate efforts.
Schedule all product into and out of a major warehouse facility (on a 48 hour basis) as well as supervising a warehouse crew of 10 (shipping nationwide).
Maintain all records on an AS400 system.
Recognized as an excellent time manager, and for strong organizational, communication and interpersonal skills.
Noted for solid problem solving skills, able to recognize, define and resolve a wide range of issues.
Assigned the major account (that was showing increasing weakness) and commended for turning it into a smooth running, efficient and increasingly profitable account, through pro-active management, and providing personalized attention to the customer.
Act as a liaison between Portfolio Management and Transfer Agents with regard to cash flows.
Analyze data from Transfer Agents and provide daily trade activity to Portfolio Management for Index Funds.
Monitor and report large retail trade activity for Mutual Funds.
Coordinate and assist in managing routine and non-routine proxies for open-end and closed-end products.
Ensure accuracy of prospectus language and propose changes as necessary to shareholder privileges, fee tables and other operational attributes.
Liaise with internal and external Legal Counsel in the development and distribution of various Mutual Fund communications.
Compile and report key business data to senior management monthly.
Design and manage projects for senior management as needed.
Business Process Reviews Monthly Business Statistics Dashboard Completed Learning Tree, Fundamentals of Project Management course.
Assist in the management of Domestic and International Equity Index Funds (Institutional, Retail, Sub-Advised and Collective Trust Products).
Act as liaison between various Operations groups and Portfolio Management to ensure processing accuracy and resolve issues accordingly.
Review and research Performance exceptions utilizing external financial databases and internal systems.
Calculate and propose portfolio allocation re-weightings in accordance with Index changes and rebalances.
FTSE Indices, MSCI Barra Indices, Wilshire 4500 Index, S&P Indices and Russell Indices.
Ensure accuracy of portfolio operating system valuations on a daily basis via exceptions research and reporting.
Manage portfolio cash percentages and equitize cash accordingly via Futures trades.
Develop and maintain effective business relationships with various external parties, including brokers, Indices and database agents.
Upload and process security trades into OMS system, verifying and resolving price/commission issues with broker.
Prepare and distribute portfolio attributes to separate clients as requested.
University of DelawareNewark, DelawareBachelor of Science: History European StudiesHistory European Studies