Experience

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  Pricewaterhousecoopers

  Jan 1980 - Jan 1984

  Senior

  Audit Senior responsible for planning and supervising audits of investment companies, broker dealers and operating companies.

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  Painewebber

  Jun 1988 - Mar 1992

  First vice president

  Directed the financial administration of over 50 multi-class retail fund products, representing over $20 billion in assets across various global assets classes. Reported to various funds’ boards of directors for all SEC and IRS compliance matters, fair valuations, investment advisory renewals and annual fund audits.

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  Bear stearns & co.

  Mar 1992 - Jun 2008

  Senior managing director

  Created (in 1987) and headed the Funds Administration business, resulting in over $30 billion in fund assets held at two Bear Stearns’ bank affiliates; development of a $6 billion mutual fund complex and the hedge fund business at Bear Stearns Asset Management (BSAM); contributed to the growth of hedge fund assets served at both BSAM and our prime brokerage unit. Serviced numerous fund families with assets over $12 billion. Managed a department of up to fifteen professional staff at multiple locations. Show less

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  J.p. morgan

  Jan 2008 - Feb 2009

  Director of Fund Administration unit servicing both registered and unregistered investment companies. Services offered include financial administration services, regulatory filings, compliance monitoring, tax compliance and reporting, and budgeting and analysis. Managing a department of six professional staff at multiple locations.• Direct interaction with Chief Executive Officer of J.P. Morgan Clearing Corp. (prime brokerage unit), with numerous client prospects and funds on offering an integrated servicing model that leverages both the services of the prime brokerage and custody bank businesses. Benefits: development of an extremely efficient operational and safekeeping model over one provided by traditional prime brokers, resulting in an increase in both assets under custody and profits to the firm. Show less

  • Executive Director - Global Equities Division

    Jun 2008 - Feb 2009

  • Executive Director

    Jan 2008 - Jan 2009
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  Ultimus fund solutions

  Mar 2009 - Feb 2012

  Executive vice president

  Head of New York office, Closed-end Funds and Business Development Companies Fund Administration Services and New Business Development

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  Heartshare human services of new york

  Jan 2012 - now

  Director

  My responsiblies include: overseeing the prudent use of all assets, including facilities, people, and programs; including oversight for all activities that advance its effectiveness and sustainability; making decisions in the best interest of HeartShare and its clients and ensure that HeartShare obeys applicable laws and acts in accordance with ethical practices; that it adheres to its stated corporate purposes, and that its activities advance its mission. Additionally, serve as a member of the Finance Committee, reviewing the results of the organization's and programs' results, as well as internal controls are functioning as intended. Show less

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  American stock transfer & trust co llc

  Feb 2012 - Feb 2018

  Executive vice president

  Development of value-added services to registered investment companies, including fund administration, proxy solicitation, transfer agency and trustee services, ownership intelligence, electronic board reporting, mobile apps for investor engagement, and EDGAR, typesetting and printing services

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  Broadridge

  Feb 2018 - now

  Vice president

  Results driven funds management executive with deep industry experience driving strategy and product innovation for solutions to the mutual fund and retirement marketplace.

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  Cornerstone family of closed-end funds

  Aug 2020 - now

  Independent director and audit committee chair

  Independent Fund Director, Audit Committee Financial Expert and Audit Committee Chair of NYSE-listed exchange-traded, closed-end investment companies.