Chris Phalen Email & Phone Number

New York, Ny, Us

Portfolio Manager for all value equity strategies. Responsibilities include executing trades, reviewing recommendations, and setting portfolio strategy. Participated in monthly portfolio reviews and client meetings as necessary.

New York, Ny, Us

Supervised analyst staff to maintain process integrity and optimize work flow. Developed tools to improve communication and ensure highest conviction ideas were in the portfolio. Participated in meetings to set portfolio strategy.

New York, Ny, Us

New York, Ny, Us

Responsibilities include buy and sell recommendations for all industrial and materials positions and to prepare financial models for each holding. Participated in client meetings to discuss the investment process and portfolio holdings.

Responsible for developing an integrated, enterprise wide, risk analysis, evaluation and management function. This includes leading the internal Risk Management Committee, an internal cross-discipline and cross-divisional group, developed to review risks across the Corporation. Also, serve as the risk advisor to senior management as well as serving as a core member of Security Benefit’s management team. Oversee the investment management of the Insurance Companies General Account, while providing ongoing oversight, hiring/firing responsibility, to any external provider selected by the firm, assuring specific investment guidelines and operating requirements are in place and in compliance.• Conducted due diligence on outside investment managers including preparing RFP’s and meetings with the managers.• Managed the transition to an external manager including portfolio transition, setting investment guidelines, portfolio benchmarks, and internal controls.• As a member of the Senior Management team developed and reviewed different initiatives to raise and optimize the companies capital position • Reviewed potential impacts of accounting/regulatory changes on the company’s capital ratios and developed potential risk management plans.• Manage the asset-liability risk and the asset allocation of the General Account.

Topeka, Ks, Us

Responsible for management of $5 billion insurance general account for Security Benefit Life Insurance Company and $800 million of fixed income mutual funds. Insurance GA included corporate bonds, high yield, private placements, mortgage-backed securities, commercial mortgage backed securities, collateralized debt obligations, hedge funds, private equity funds, and bank loans. Mutual fund strategies included high yield, govt/credit, and money market. Responsible for managing and communicating the portfolio characteristics and risks to many different constituencies. Led a team of 12 associates including three portfolio managers and four analysts.• General Account fixed rate investments consistently out performed customized benchmarks. • Served as head of strategy groups that developed corporate views on interest rates, asset allocation, yield curve, and economic forecasts. • In 2007, recommended liquidation of high-risk assets including hedge funds and corporate bonds to optimize the balance sheet risk. Consistently recommended actions to optimize the balance sheet of the organization.• Developed and implemented improved risk management process by adding more detailed analysis and transparency to all internally managed fixed income sectors in the General Account portfolio.• Clearly communicated portfolio risks to Board of Directors, rating agencies, and investment committee.• Member of Security Benefit Corporation Risk Management Committee and the Management Committee charged with running the Asset Management business.• Managed the portfolio management, research, trading, operational and investment accounting staff. • Actively participated in managing the capital structure of the organization.

Responsible for managing $1.5B of corporate bond investments across all portfolios including insurance general account assets and mutual funds.• Portfolio manager for Lehman Government/Corporate Bond Mutual Fund. Managed from June 2005 until August 2007 and ranked in the top quartile of Lipper rankings for this period. Generated returns through sector rotation, corporate bond security selection, and duration.• Portfolio Manager for insurance account consisting of $1.2 billion of corporate bond assets. Generated total return in excess of the Lehman Intermediate Corporate Bond benchmark on a gross and risk-adjusted basis for one, three, and five years. • Co-Portfolio Manager with responsibility for the corporate bond allocation of core bond funds totaling $280 million. Corporate bond allocation consistently exceeded the benchmark.• Responsible for reviewing or completing credit analysis on all corporate bonds.• Reviewed new product development initiatives and designed potential portfolios.• Responsible for monitoring and recommending alternative investments.

• Earned additional responsibility for all investment grade bonds across all sectors.• Responsibilities included: monitor holdings, making buy/sell decisions, executing trades and industry reviews.

• Analyze credits within assigned sectors for new ideas in the portfolio. Assigned sectors include capital goods, energy, transportation, homebuilding, paper, technology, and yankees. • Presented industry reviews to the fixed income and equity teams on assigned sectors.• Monitor existing high yield and investment grade holdings within assigned sectors and make buy/sell recommendations• In 1998, 67% of high yield recommendations outperformed the Lipper High Yield Index.

Strategic Planning Analyst • Prepare financial models to forecast revenue in cities of operation.• Analyze scenarios presented by marketing to determine financial viability.

• Prepare analysis of strategic options for the senior management team and peer company financial statements.• Monitor and analyze industry trends for the mutual fund market and annuity market.• Prepare statistical analysis of annuity surrenders and mutual fund redemptions.

• Provide management with necessary quantitative data and analysis in order to make reasonable and sound business decisions.• Prepare investment income forecasts for subsidiary companies.