Jim Van Horn Email and Phone Number

Junior Exploration and Mining Company focused on the exploration and discovery of cobalt, copper and byproduct mineral resources/reserves for eventual extraction and production into metal concentrates from mines in the La Cobaltera District in the Atacama Region of Chile.

Transition support for financial, compliance and client portfolio data and setups since acquisition of Sigma by Mercer.

2015 - 2018: CFO/CCOHired by Mercer upon acquisition of Sigma by Mercer. Provided all financial reporting (financial statement preps, journal entries and maintenance of chart of accounts) and visioning, accounts payable, payroll and third-party tax preparatory work. Provided all compliance testing, documentation and training requirements. Supported ownership in areas of legal document reviews and special projects, as well as supporting personnel for questions regarding financial, payroll and compliance matters.2006 - 2015: COO/CCOSame as for 2015 - 2018, but also handled interface with third-party IT provider, human resources manager, including all hiring processes and management of the operations team. Annual testing and training of the compliance program and recommendations to management for updating the firm Compliance Manual. Annual financial sensitivity reviews with management to avert issues with market downturns, such as the 2008 market crisis.2006: Business Manager/Compliance OfficerDevelop and migrate financial systems and reporting tools from Excel-based systems to QuickBooks. Learn the pertinent regulations, which included targeted educational courses, and create controls to maintain compliance with the Securities Acts for a Registered Investment Adviser firm, starting with the existing Sigma Compliance Manual and documentation as a baseline from which to grow.

Supported the monthly parking rent (P&L charge-out) preparation process along with managing back-office operations.

Responsible for daily fund valuation processes, interfacing with key broker-dealer relationships and consultation with attorneys on any legal matters for the firm. Responsible for strategic financial visioning and consultation with ownership on all things financial. Responsible for interfaces with outsourced payroll providers and benefits providers on behalf of the firm.

Audits of service companies and benefit plans with testing focus on all areas of the balance sheet.