As the Director of Operations, oversees the back-office operations that support the portfolio accounting, reporting, billing, and trading functions of the firm. Assist the Chief Compliance Officer with the firm’s compliance effort as the Compliance Manager.

• Promoted to Insurance Clerk to ensure proof of current and appropriate insurance coverage on file for all collateralized property attached to residential, commercial and automobile loans. • As Customer Service Associate, processed customer banking transactions while maintaining and balancing a cash drawer, assisted with daily branch operations, applied banking regulations and security procedures, responded to customer inquiries and provided friendly, efficient customer service.

• Actively managed the Account Administration department consisting of 10 employees. The department is responsible for the collection, reconciliation and maintenance of client financial records, billing, and creation and distribution of client reports for 1000+ institutional and individual accounts. This includes pricing, corporate action processing, security litigation filings, performance calculations, account reconciliation, servicing clients’ administrative requests, adherence to government compliance and security settlement.• Hired and trained all members of the Account Administration department and evaluated and implemented all portfolio accounting systems and procedures as firm assets under management grew exponentially during my tenure.• Communicated and resolved issues among custodians, brokers, and clients.• Evaluated and established systems and practices for wrap account servicing, international trading, straight-through transaction processing and participation in initial public offerings.• Established and maintained operating controls within the department resulting in enhanced quality and accuracy including documentation of policies and procedures, creation of training manuals and automation of previously manually performed tasks.• Assisted other departments with special client data requests and provided all portfolio data necessary to facilitate financial management by investment professionals. Participated in client reviews and prospect meetings to detail accounting capabilities and our capacity to meet client needs.• Provided data to and worked with auditors including the Securities and Exchange Commission.

• After beginning my career in the Accounting department of FNFD as a Mail/File Clerk and progressing to the position of Bookkeeper, I moved into investment management back office administration as an Administrative Assistant for the firm’s Capital Management Group. In 1986, the Division was taken over by Frank M. Sands, Sr., CFA, and I was promoted to Administrative Manager where I was responsible for many of the same duties described above and, due to the affiliation with the brokerage firm, additional industry oversight and custody account supervision.• In 1992, Mr. Sands started his own firm, Sands Capital Management, and I was asked to join the company as his Director of Account Administration. Established with 4 employees and $80 million under management, we grew the new firm assets under management to $20 billion and added over 70 employees by 2008.