Candace A. M. Email & Phone Number

Wayne, Pa, Us

United States, Us

Senior Paralegal in the Philadelphia office of Pepper Hamilton LLP and a member of the firm's Financial Services Practice Group. Primarily involved in areas of corporate governance, legal administration and registration of investment companies under the Investment Company Act of 1940, including mutual funds and closed-end investment companies.

Columbus, Ohio, Us

Serve as chief advisor to President of Nationwide Funds, supporting the executive team, driving collaboration, ensuring smooth daily operations, and leading implementation of President’s vision for business. Overseeing and managing a wide variety of highly prioritized/ad-hoc projects, requests, and analytical insight for a variety of investment related requests.• Established streamlined executive communication process that aligned with enterprise management strategy initiatives. Charged with gathering, synthesizing, and assessing business metrics and other core internal and industry data to drive organizational decisions across the Funds’ business units.• Partnered with Human Resources to develop a multi-year learning and development plan for key leaders and associates, including a rigorous on-boarding process for 52 new hires and 5 summer graduate interns.• Coordinated and led senior executive meetings, including regular preparation of confidential business reports and agendas to drive associate engagement, development, and understanding of business goals and objectives.• Served as a spokesperson and liaison between the Nationwide Funds organization and Nationwide Mutual.• Championed completion of key projects and special assignments on behalf of President by establishing objectives, determining priorities, managing time, monitoring progress, problem-solving, and adjusting plans.• Partnered with various communications and marketing teams to promote consistent and effective messaging to both internal associates and external business partners, including updates to Funds Board of Trustees.

Columbus, Ohio, Us

Led 30-member cross-functional, project management teams in support of Nationwide’s mutual fund product development and management activities. Oversaw fund adoptions, launches, and modifications including fund mergers and sub-adviser changes.• Led the implementation of Nationwide’s acquisition of HighMark Funds, comprising of 17 mutual funds, representing more than $3.5B AUM. Managed interfaces between projects to ensure collaboration and coordination between business unit leadership, project development staff, senior management, technology, customers, vendors, and outside consultants.• Consulted with senior leadership and assigned project teams to identify scope and business needs and prepared risk assessments and timelines for major programs and team-based activities, with the goal of ensuring alignment with corporate strategy and objectives.• Designed and instituted the evaluation of proposed business development efforts including the coordination of initial project proposals―scope, deliverables, cost estimates, and return on investment (ROI) analysis.

Columbus, Ohio, Us

Provided leadership support in coordinating mutual fund commencement activities and ongoing maintenance of registrations with the U.S. Securities and Exchange Commission. • Prepared initial and subsequent draft disclosure documents, such as prospectuses, SAIs, proxy statements, and information statements for a mutual fund complex consisting of 2 trusts―Nationwide Mutual Funds and Nationwide Variable Insurance Trust.• Managed the gathering, filtering, and analyzing of required information and disclosure comments from fund counsel, independent trustees counsel, independent auditors, internal NFG departments, and third-party vendors.• Served as project lead on preparation of contracts and coordination of annual contract renewal Board of Trustees meetings.

New York, Ny, Us

Coordinated mutual fund commencement activities and ongoing maintenance of registrations with the U.S. Securities and Exchange Commission. Supervised and revised work product of junior regulatory administrators. • Directed regulatory work for an open-end investment company with 26 series and $3.8B in assets under management on regulatory and compliance issues.• Coordinated service providers of mutual fund clients, including accounting agents, transfer agents, counsel, independent auditors, and financial printers to facilitate the completion of EDGAR filings and distribution of shareholder documents.• Conducted internal fund audits and ensured routine maintenance of all fund files, fund minute books and follow-up items relating to board meetings. Presented client materials for mission-critical mutual fund board meetings.• Drafted prospectuses, proxy statements, agreements, procedures, and other disclosures.• Provided research of investment company issues under the federal securities laws.

Philadelphia, Pa, Us

Assisted investment management attorneys with the preparation of U.S. Securities and Exchange Commission, FINRA and other regulatory filings. Performed day-to-day duties as a major client coordinator including maintenance of standardized information, procedures and monthly billing.• Provided Investment Company Act of 1940 legal services to 2 Open-end and Closed-end mutual fund clients.• Drafted prospectuses, proxy statements, agreements, and other legal disclosure documents.• Coordinated and prepared materials for mutual fund board meetings.• Communicated and managed workload between clients, auditors, service providers, and financial printers.