Brittney Murray Email & Phone Number

Denver, Colorado, United States

• Provide accounting and clerical assistance to principal accountant• Reconcile financial & credit card accounts for clients in the Restaurant, Construction, Automotive Repair, Real Estate, Transcription & Furniture Delivery industries• Responsible for state & city sales tax payments on behalf of clients• Manage pay application submissions on multiple platforms

• Executed compliance testing for the following types of expenses: soft dollar, 12B-1, 12B-1(H), preferred partners, revenue sharing agreement, transfer agent, monthly custodian & firm general register expenses• Performed review of budget accruals changes for multiple categories of expenses • Delivered CCO proprietary and sub-advised fund reports for Board of Director meetings• Provided third party servicers for class actions and proxy voting with account census, trades and holdings as well as completed compliance testing for third party servicers • Collected and reviewed compliance forms for all firm employees• Reviewed daily compliance reports provided by custodians for proprietary funds and sub-advised fund as well as researched and remedied any compliance variances • Participated in preparation and review of SEC filings• Inspected daily trade report for eligible securities for price tolerance testing and CPDI eligibility• Studied and tested eligible holdings to ensure compliance with Public Utility Holdings Company Act • Analyzed portfolio transactions for window dressing and portfolio pumping• Examined daily cash activity for proprietary funds to determine potential market timing by investors• Presented best execution testing results for domestic and international brokers to Director of Trading and Chief Compliance Officer as well as Board of Director’s sub-committee• Ensured proper coding of restricted securities in internal trading system as well as with custodians• Coordinated as-of shareholder transaction review of proprietary funds with transfer agent • Executed trade allocation testing to ensure Portfolio Managers trading within guidelines of policy• Updated performance data for Zephyr performance reporting platform• Examined weekly expense allocations by custodian as communicated by Treasurer for fund eligible expenses• Authored numerous procedures and enhanced existing processes

• Designed new processes for monitoring and documenting foreign exchange transactions executed by clients’ numerous custodial banks for over 100 different accounts across several investment strategies• Responsible for class action filings for proprietary funds as well as notifying sub-advised clients’ custodians.• Responsible for daily cash reconciliation for two mutual fund families (20 total funds)• Researched and resolved multiple issues between client accounts and custodial banks• Performed daily variance, share reconciliation & verifying capital stock activity for mutual fund family consisting of 12 funds• Utilized accounting system to enter multitude of transactions including expenses, reclaims, FX transactions, capital stock activity, interest income and class action proceeds• Created macros and reports to improve efficiencies within the Operations Department across a variety of activities• Authored detailed operating procedures referenced by Operations and Compliance Departments

• Responsible for all security-related third party foreign exchange trading (gross $2B monthly)• Executed trades across various trading platforms in excess of $500M monthly for both US listed and non-US listed securities for multiple Portfolio Managers and investment strategies• Assisted Senior Traders on the trading desk• Liaison between Portfolio Managers, Compliance, Marketing, Client Services and Operations Departments• Compiled daily research disseminated to Research Team• Communicated IPO, secondaries or block trade notifications to Portfolio Managers along with potential portfolio considerations• Provided variety of reports to Portfolio Managers including portfolio composition, compliance matters and other actionable items• Maintained and improved day-to-day relationships with a wide variety of brokers and vendors while representing the best interests of the firm• Established detailed procedures employed by Trading Department

• Performed trade order management for equities, options and fixed income securities: order entry, compliance and cash review, intraday oversight and allocated assorted trades for several hundred accounts across multiple investment strategies, investment goals and Portfolio Managers• Originated materials for Trading, Compliance and Client Services with detailed Trading Groups matrix• Communicated trades to custodial banks• Assured compatibility and functionality of potential system and platform upgrades• Responsible for short-term cash investment for multiple mutual funds• Created security information files in Trading and Accounting systems

• Ensured proper trade settlement via trade affirmation process and resolved any trade discrepancies • Pioneered foreign trade settlement instruction detail for eligible accounts on Omgeo system to be used by trading partners to ensure timely trade settlement