Manage Transfer Agent functional areas, including: Call Center, NSCC Dealer Services, Institutional Services, and Transaction Processing.FIS™ is the world’s largest global provider dedicated to banking and payments technologies. With a long history deeply rooted in the financial services sector, FIS serves more than 14,000 institutions in over 130 countries. Headquartered in Jacksonville, Florida, FIS employs more than 65,000 people worldwide and holds leadership positions in payment processing and banking solutions, providing software, services and outsourcing of the technology that drives financial institutions.

Managed Transfer Agent gunctional areas, including: Call Center, NSCC Dealer Services, Institutional Services, Transaction Processing, Workflow, and Pricing.

• Lead team through the seven month transition of business to Invesco, the firm that acquired the majority of Morgan Stanley’s asset management division in May 2010. • Directed investor services division, which included support for the Morgan Stanley Institutional, Morgan Stanley Advisor and Van Kampen mutual fund and 529 products.• Directed Houston, Texas division of transfer agent operations, supporting both the Morgan Stanley Advisor and Van Kampen mutual fund families.• Worked closely with external audit team in preparation of annual SAS-70 reports.• Assisted Compliance with preparation of annual TA-2 filings for the firm’s three transfer agents.• Prepared and presented monthly risk review report, as well as monthly control and metrics report to senior management team.• Managed relationship with external mail services/check processing vendor (DST Output) and with external print/mail vendor (Broadridge).• Managed relationship with external quality assurance vendor, National Quality Review (NQR).• Represented firm on the Investment Company Institute’s Transfer Agent Advisory Committee.• Participated on teams responsible for converting the Morgan Stanley Institutional Funds (June 2008) and the Morgan Stanley Advisor Funds (February 2008) to DST’s TA2000 platform.• Lead project team responsible for converting Institutional Fund shareholder statements from monthly to quarterly, reducing related expenses by nearly 70%.• Directed development and implementation of short-term trader (Rule 22c-2) controls for both Van Kampen and Morgan Stanley Advisor funds.• Instituted multiple programs aimed at improving Van Kampen processing and telephone quality. Group has exceeded NQR’s industry and peer group averages since 2004, and has achieved the coveted NQR 5-Star designation consistently since 2005.• Honored with the 2003-2004 National Investment Company Service Association’s (NICSA) Retirement Committee MVP award.

• Managed and directed a team of FINRA licensed operations professionals. • Participated on the team responsible for the industry’s largest shareholder system conversion.• Directed the team responsible for converting the firm’s employer-sponsored retirement plan business to DST’s TRAC recordkeeping platform.• Participated on the Balanced Scorecard team, which was responsible for setting specific metrics by which the company would gauge its future successes.• Directed re-engineering of the firm’s Transfer of Assets process. Led the group in successfully implementing improvements, including a significant reduction in the internal turnaround time for Transfers of Assets and Direct Rollovers from 72 hours to 24 hours.• Responsible for integrating the NSCC’s ToRA system into the firm’s business model. Under my direction, Invesco Aim became one of the leading users of this automated system.• Quoted in a Wall Street Journal article regarding Roth IRA conversions.• Participated on the Building Customer Relations Team and was primarily responsible for developing the first Retirement Plans Services survey.• Assisted in integrating both the new accounts processing function and the redemption processing function into the Retirement Support Services’ workflow.• Assisted in the development and implementation ASTRO, a proprietary software system used to track all incoming asset transfers, direct rollovers and Roth IRA conversions.• Participated on the team responsible for designing all new account applications and other related forms. Primary point of contact for all retirement-specific forms.

• Managed $15 million credit portfolio, which included over 250 branch accounts. • Assisted in development of an automated process for verifying dealer compliance with Transamerica's inventory security agreements and program letters.