Eric M. Email & Phone Number

Bethesda, Maryland, United States

• Responsible for the trust operations, technology support, cash operations, fund accounting, trade settlements, fees, corporate actions, reconciliation, performance and client reporting teams across two companies: CCT and ASB.• Oversaw the cash operations team responsible for fee processing, cash receipts and disbursements, as well as, all related treasury functions including DDA reconciliation, DNS, ACH’s, wires, checks, F/X and international wires.• Responsible for all regulatory reporting in regards to 13F, 13G, 13H and 314a. • Oversaw the fund valuation team responsible for two CTF’s ($28M and $4B AUM). Provided oversight for our external fund valuation of two Collective Investment Funds ($20B combined AUM) and one publicly traded fund ($27M AUM). • Managed the middle-office and back-office teams responsible for post-trade settlement, trade confirmation, settlement resolutions and failed trade monitoring across multiple asset classes in both domestic and foreign markets.• Managed the reconciliation, performance and reporting teams responsible for custody recon and ex-custody recon (15 outside custodians) and firm performance for both CCT/ASB and client reporting packages that pull from InvestEdge, FactSet and InvestEdge.• Oversaw the technology team responsible for 24/7 support of all investment related applications and systems, including managing upgrades, QA testing, error resolutions and data/report requests. Applications included JIRA, internal CRM and a custom front-end portal/dashboard. • Team lead for an 18+ month trust accounting platform and OMS conversion from SEI Trust3000 to FIS GlobalPlus and Advent Moxy to CRD/CRIMS focusing on the back/middle office and trading workflows. The conversion also included migrating performance from Advent Axys to First Rate and included first-time ever integrations with InvestEdge for client reporting, Wealth Access for a new client portal and CRD for trading (IBOR functionality added post-conversion).

Baltimore, Maryland Area

• Managed and developed an eight member team responsible for reconciliation, performance, security master, trade support, RFI/RFP’s and special projects.• Held monthly one-on-one meetings to discuss current projects, career goals and issues. Set actionable items to be accomplished prior to the following meeting.• Set yearly goals for the Operations team and conducted year-end reviews and compensation adjustments. • Identified and drove opportunities to leverage efficiencies and streamlined efforts to promote continuous improvements for OMS trade support, OMS compliance rules, reconciliation, account opening, security master, corporate actions and automation processes. • Maintained and updated an affiliate’s $50MM Private Equity model.• Successfully outsourced part of the reconciliation process to a third party. Resulted in time and monetary savings.• Compiled data and finalized documentation and reports for SEC/OCC and internal audits.• Managed and participated in multiple key client facing initiatives. Initiatives were critical to the success and support of new business and tactical/infrastructure priorities for the firm.- Client presentation improvements, alternative asset/private equity reporting, mutual fund fact sheets, attribution reporting, automation of daily reporting, outsourcing of reconciliation.• Planned, coordinated, tested and implemented upgrades to our accounting system Advent Portfolio Exchange (APX) and our order management system Advent Moxy. • Converted Moxy OMS from TradeWeb to Bloomberg OMS. • Led weekly Operations call with SS&C Advent. Discussed current issues, open cases and roadmap for future enhancements. • Oversaw the firm’s relationship with FactSet, Bloomberg, MSCI and RIMES. Discussed current issues, reviewed invoices, monitored the implementation of upgrades and future enhancements.• Reviewed contracts, invoices and renewals. Achieved annual $100k cost saving by proposing and implementing new pricing structure.

• Planned, coordinated, tested and implemented data conversion and integration of PORTIA/CRD onto Advent’s APX/Moxy. 12+ month project. • Responsible for upgrading, planning and implementation of Advent’s suite of financial software products under strict deadlines.• Designed, implemented and maintained LMIC's new Intranet site: - Open source software Wordpress (http://wordpress.org) on a LAMP structure (Linux, Apache, MySQL, PHP). - Included modifications to the site's PHP files code CSS. • Restructured and worked on enterprise level agreements and affiliate level agreements with vendors.• In-depth knowledge of the Advent Software Product Suite, including: Advent Portfolio Exchange (APX), Moxy, Rules Manager, Market Data Manager (MDM), DTCC, automation and integration. • Lead security master and corporate actions specialist for over 10,000 securities. Responsible for setup, maintenance, data integration and accuracy. • Wrote Web Reports for use in CRD using Crystal Reports 9 and 10.• Performed market data analysis (FactSet, Morningstar Direct, Zephyr) for ways to save on costs and tested new data feeds for adequate coverage.• Responsible for data collection and accuracy of RFI/RFP’s sent to the firm. • Responsible for the data collection and inputs for the firm’s marketable composite materials.

• Systems administrator for applications including Charles River, FactSet Directions, FactSet Marquee, FactSet Portfolio Gallery, Zephyr AssetAllocator, Zephyr StyleAdvisor, MorningStar Ibbotson products, BondEdge, Perform and PORTIA. • Researched and resolved all trading and order management system issues on a daily basis.• Worked closely with traders, portfolio managers and portfolio assistants to resolve problems, ensure accurate data and build custom views and screens for all the various applications. • Wrote CRD compliance rules and maintained compliance warnings and alerts.• Set up users on front-end and back-end applications. Trained all new employees on software applications.• Developed ways to enhance the portfolio management and trading experience by creating new screens and processes.• Assisted with reconciliation and reconciliation issues, performance and performance issues.• Performed all quarterly characteristic reporting for the firm’s marketable composites. Data gathered from FactSet for equity composites, BondEdge for taxable fixed income composites and from Perform for tax-exempt fixed income composites. Project Manager• Planned and coordinated the integration of LMIC affiliate Gray Seifert onto CRD from Macgregor XIP. Project was delivered on time and below budget.• Planned, coordinated and delivered the integration of LMIC affiliate A. Karafin Investment Advisors onto CRD. Project was delivered on time.• Junior member of the asset allocation committee:- Committee meets monthly to decide the recommended future allocations, as well as, hold discussions on current and future market activities to determine asset class weights and recommendations.

• Supervised four employees and conducted semi-annual performance evaluations. • Provided day-to-day supervision and operational leadership for AMTS operations.• Created procedures and controls for clients and implemented procedures for monthly SOX audits.• Worked with operation managers to identify required data elements by suggesting automation and improved the reconciliation, performance calculation and management fee billing processes.• Responsible for monthly performance calculations for additional business affiliate Legg Mason Trust. o LM Trust managed more than 50 portfolios with assets that include fixed income and cash. o Performance required running reports and researching portfolio's returns that were not in line when compared to a benchmark index.o Required researching trade discrepancies and cash flows to ensure accuracy on assets rate of return.

• Supervised four employee and conducted semi-annual performance evaluations. • Performed daily reconciliation of two clients, one of which holds six billion in AUM and managed over 100 accounts.• Responsible for producing more than 25 reconciliation audits per month detailing holdings, discrepancies, pending/open transactions, accrued income, etc.• Responsible for monthly and quarterly management fee billing for three Legg Mason affiliates:o Process involved the extraction of market values from our accounting system, billing calculations, invoice mailings, payment collections, payment postings and generating revenue reports• Assisted the LM Finance department with monthly reconciliation of the general ledger for all three affiliates including reporting discrepancies and performing write-offs during a time where the finance department had significant turnover.• Participated in two client conversions onto Legg Mason systems.o Involved QA testing (systems analysis, report generation and conversion feasibility), reconciliations, report and system design and recommendations to each client.o Trained employees on reconciliation of client’s accounts, as well as, the fee billing process.

• Lead financial analyst of University Specialty (Deaton) Hospitals’ $20 million dollar receivable.• Supervised five employees; developed and implemented financial/technical training requirements and delegated assignments.• Coordinated and led bi-weekly meetings to discuss goals and obstacles of the Specialty Hospital.• Created and performed the first ever Cash Collections Team Internal Audit:o Focused on lockbox, cash posting, report balancing/reconciliation, adjustment posting, refunds and denials.o Errors and observations were used to rewrite the cash manual as well as locate areas in need of improvement.• Due to audit and controls that were put in place, cash collection rates increased from 60% to more than 80%.• Assigned to the system transfer team for Deaton Hospital SOS system onto the UMMS system STAR:o Responsible for collecting, evaluating, testing and reporting on system software to determine implementation.o Prepared weekly and monthly comprehensive reports for executive level management.o Tracked the workflow and deadlines of the financial analytical team.

• Analyzed receivables and then delegated and coordinated efforts to solve secondary billing problems. • Designed web site to inform vendors of quarterly progress. • Reconciled system activity between ending and subsidiary balances, standardized statistical reports, and posted cash reports.• Co-created quarterly newsletter to inform other divisions of the quarter’s achievements and areas in need of improvement.• Lead trainer of new employees on month-end reporting procedures and billing cycles of the three hospitals.• Provided technical support to planning, systems development, and operational activities.

• Responsible for month-end reporting and analysis of receivables.• Worked as part of a team to balance revenue to billed claims.• Responsible for monthly reporting of uncompensated care through statistical data elements.• Created SQL queries and reports that resulted in an approximate 66% decrease in month-end reporting time.• Created queries and reports through Access and the hospital’s built-in SQL system.

Master Of Science, Finance

Activities and Societies: Member of Beta Gamma Sigma (International Honor Society for Business) – one MSF student selected each semester

Bachelor Of Science, Double Major: Finance And Information Technology