Hsg - President, Hfd - Senior Vice President & Aml/Ofac Officer, Hca - Vice President
CurrentResponsibility for all of the firm’s asset management operations including; direct management of the transfer agency; shareholder & back office call center, transaction operations, intermediary onboarding, payment and oversight programs, new and ongoing employee training and development. Ensures timely and accurate control and reconciliation with custodian banks. Investment Operations, both front and middle office. Tax Services; payment and reporting on all state and federal tax payments, as well as shareholder tax reporting. Oversight of risk and operational controls, including administration of all AML policies in line with Patriot Act as AMLCO. Oversight of project office and workflow management systems and development. Develops and fosters solid relationships with key senior personnel within the internal/external management structure. Prepares documentation for Board presentations outlining the financial and benefits of running an internal transfer agency. Serve on industry panels to be current with transfer agency and mutual fund industry regulations and changes.