• 25 years experience• Leader for Trade Execution and Investment Operations of Domestic and International strategies• Model delivery leaders in the industry• Portfolio analysis - liquidity, macro and micro market view, relative performance, cash management, idea generation• Capital markets specialist - Institutional / Retail SMA, Mutual Funds, ETF, Active ETF, Model Delivery (AUA), Platform Trading• Automation - internal operations and trading projects to develop risk mitigation and efficiency• Develop and maintain trading and operations policies and procedures• Organize and lead morning market call for the firm• Client focused - existing and potential client discussions with Sales and Investment Team• Project management - OMS, CTM, End of Day automation, Beginning of Day automation• New Product Introduction and Onboarding - ADR Seeded Portfolio, CTM, RFQ FX Platform, FIX integration, RFQ Fixed Income Platform, Bloomberg, Factset• Committees - Operating, Best Execution, Pricing, Client Intake, Liquidity, Risk Management• Relationship driven - client focus, expert relationship builder to create and maintain best in class Trading and Operations Team• Recruitment - seek and develop short and long term human capital with a forward looking view• Execute and manage 24 hour trading desk with a global operation

Responsible for equity, fixed income and foreign currency execution in the Americas.

• Responsible and accountable for all trading functions in the Americas with oversight of operational area, Head of Trading, Americas• Create options trading capabilities to support multiple asset classes (execution/strategy/policy)• Lead special situation efforts with respect to large/esoteric transactions• Interact and communicate with clients globally in sales effort, due diligence, market structure and trade cost analysis• Successfully develop and incorporate CCA (Client Commission Arrangements) model with existing trading operation• Implement and maintain global trading operational policies• Establish and maintain relationships with broker, venue and exchange community• Motivate staff through educational initiatives, team focus and conflict resolution• Maintain open dialogue with global trading and investment management teams (portfolio, macro news, initiatives)• Effective communication skills across investment teams – well respected and able to implement change• Quarterly analysis of trade execution/stock selection through custom TCA reporting (Fund Board Level)• Interact with various departments (Compliance, Risk, Legal, Sales) to ensure regulatory requirements are met• Member of Execution Oversight Committee (monthly overview of performance with various departments) • Collaborate with product development team in growth through acquisitions/fund mergers• Develop educational curriculum for trading desk to maintain regulatory and market structure changes• Assume global responsibility of all Latin American execution for various products without disruption while increasing liquidity opportunities• Participate in leadership conferences to develop relationships, educate and collaborate on market structure changes• Interact and communicate with clients globally in sales effort, due diligence, market structure and trade cost analysis• Monitor, maintain and help incorporate global broker ranking database• Develop venue analysis on execution quality

• Trading execution for Small/Large Cap Core, Natural Resources and Hedge Funds (Long/Short) • Responsible for all US Program Trading, including monthly $500 Million Quant Rebalance• Setup procedures and execute index and exotic derivatives for U.S. and Foreign entities • Execute foreign trades for Global Financial and Emerging Market funds• Monitor/maintain relationships with various ECN’s and ATS’s to increase trading performance• Coordinate all syndicate deals for the firm • Monitor/analyze the various portfolios for trading opportunities• Build/maintain program/futures/block/algorithm trading relationships • Establish CSA arrangements to consolidate broker list while maintaining best execution• Pre and post market trading via various ECN’s• TCA integration for mutual fund board/upper management• Monitor cash levels/pro-forma basket impact analysis/re-balance strategies• Lipper Award

• Execute $17 billion of international and domestic equities (various portfolios) • Responsible for operation of the trading desk in all aspects• Advise clients/portfolio managers on derivative strategies• Conduct morning market call and various intra-day calls• Integration of ECN’s to the trading desk staff to improve performance• Advise high net worth clients/portfolio managers on concentrated positions and insider transactions• Examine/monitor/allocate syndicate deals for institutional and high net worth clients• Execute foreign currency contracts for International Mutual Funds• Manage soft dollar budget• Automated trading desk through introduction of new technology (trading, settlement, corporate actions, account allocation) • Implemented all international operation procedures with regard to trading, corporate actions, trade settlement and emerging market transactions• Initiate/maintain broker/vendor relationships with regards to research, technology and block flow• Administer security/broker/separate accounts database

• Daily fund accounting • Custodial/Pricing administration • International futures valuation • Expense analysis • Shareholder statement preparation • International Emerging Market Funds

• Head of Corporate Actions Team • Training of new supervisors • Similar responsibilities to those at PFPC• “Above and Beyond” Award Recipient (June 1997) for exceptional service performance on complex mutual funds while assisting others with difficult corporate actions.