ACQUISITION DUE DILIGENCE - Project Leader for the Compliance & Legal Team, for a significant cross-border acquisition. Support services also included modified due diligence before and after closing, assessment of existing and required policies and procedures , and a review of the audit and risk management structure.- NEW BUSINESS START-UP – Provided expertise to a major financial services organization in the analysis and plans for entry into a new market segment. Included forward-looking expense and revenue projections, on-site operational due diligence and post-acquisition expertise in managing the new business.- COST BASIS – Served as business analyst for a major financial services company in developing a new securities processing system that would be fully Cost Basis compliant. Prepared detailed business requirement documents for technology requirements, user interfaces, business rules for gifting, inheritances, depository processing and year-end tax reporting.- Developed complete library of written procedures & content for computer-based compliance training program for a major transfer agency. Project included all SEC and SRO rules and regulations affecting transfer agents. Included suggested “best practices” for each of 14 developed compliance procedures.- COST BASIS – Provided expertise to a major securities processing organization in modifying its existing securities processing system to become Cost Basis compliant. Included an analysis of legacy system, identifying required technology enhancements. - OPERATIONAL RELOCATION - Management of all logistical and managerial details for relocating key operating departments from New Jersey to a lower cost job market. Responsibilities included transitional training for new staff, completing a needs assessment for the new location, identifying constraints and risks to be managed and physical relocation of people and equipment.

- ACQUISITION DUE DILIGENCE - Project Leader for the Compliance & Legal Team, for a significant cross-border acquisition. Support services also included modified due diligence before and after closing, assessment of existing and required policies and procedures , and a review of the audit and risk management structure.- NEW BUSINESS START-UP – Provided expertise to a major financial services organization in the analysis and plans for entry into a new market segment. Included forward-looking expense and revenue projections, on-site operational due diligence and post-acquisition expertise in managing the new business.- COST BASIS – Served as business analyst for a major financial services company in developing a new securities processing system that would be fully Cost Basis compliant. Prepared detailed business requirement documents for technology requirements, user interfaces, business rules for gifting, inheritances, depository processing and year-end tax reporting.- Developed complete library of written procedures & content for computer-based compliance training program for a major transfer agency. Project included all SEC and SRO rules and regulations affecting transfer agents. Included suggested “best practices” for each of 14 developed compliance procedures.- COST BASIS – Provided expertise to a major securities processing organization in modifying its existing securities processing system to become Cost Basis compliant. Included an analysis of legacy system, identifying required technology enhancements. - OPERATIONAL RELOCATION - Management of all logistical and managerial details for relocating key operating departments from New Jersey to a lower cost job market. Responsibilities included transitional training for new staff, completing a needs assessment for the new location, identifying constraints and risks to be managed and physical relocation of people and equipment.