Jim Ulrich Email & Phone Number

Denver

• Manages the receipt of cash flow notifications via email accounts and utilizes the Serena Cashflow system to perform entry and/or quality control review of transactions and notifications
• Acts as a liaison between clients, consultants, custodians and internal departments to ensure client cash flow needs are being accommodated
• Performs recurring and ad-hoc cash flow requests from clients across all market segments
• Facilitate notification to Portfolio Management and other internal departments of transfer of assets into/out of existing accounts
• Communicates with Portfolio Management, as needed, to complete a client transaction
• Identify areas to improve processes in notification of monies into/out of existing accounts

Denver, Colorado

• Coordinates and executes the entire semi-annual and annual financial reporting process for multiple mutual funds. The process includes project planning, communication to all parties involved and tracking of timelines.
• Establish departmental policies, procedures and timelines needed to complete financial reporting projects.
• Wrote multiple procedures for the department, with the semi-annual and annual swap procedures being the most complicated.
• Helped implement new reporting requirements for the ASU 2011-11 OTC counter-party offsetting tables.
• Performs activities related to other financial reporting projects and analysis including the prospectus, the SAI, N-CSR, N-CSRS, N-Q, N-SAR, 24F-2, N-MFP filings, Board Reporting, and Quarterly Fund Disclosure.
• Consistently produced error free shareholder reports, NQs and N-SAR’s.

Greater Denver Area

• Daily tasks have included: Cash flow projections, tying out all fund transactions, settling all fund activity, bank reconciliations, asset reconciliations, Prime Broker Recon, processing swap dividends and swap trades.
• Only accountant with 100% accuracy during the first quarter the metrics were compiled (4Q 2012).
• Created training manual for new fund accountants during my first month of employment.
• Was accepted to and completed the Emerging Leader program.
• Assisted on daily future tie-out and helped write the procedures for the tie-out.
• Built and maintained strong relationships and within Fund Accounting and other departments.

• Managed trade settlement for sell side broker dealer.
• Assisted with the conversion from Jeffries Clearing to Penson Financial, resulting in a seamless conversion.
• Monitored all house accounts daily and reported any discrepancies to compliance.
• Coordinated an oil and gas private placement.
• Experience using, BPS, ProVisor, Ridge Connect, Vantra and TMS Production.

• Implemented the settlement operations for the US office of a Canadian broker dealer, meeting all deadlines and going live without incident.
• Coordinated all aspects of the trading desk relating to trade settlement with our clearing firm, Pershing Financial.
• Trained the operations manager and continued to consult and backup when needed.
• Handled complex trade issues and restricted stock 144/144k sales.
• Expertise in using, NetxPro, Thomson One, and NyFix.
• Initiated new client relationships and enhanced previous relationships.

• Rectified all firm house accounts daily and confirmed all house account activity with compliance.
• Maintained Form 2790 (currently known as 5130) for clients participating in IPO or Secondary Offerings.
• Assisted in Syndicate New Issue/Secondary Issue deals that the firm was a co-manager of, as well as handled all the deal wires.
• Completed the documentation to remove the legend on restricted securities - 144 and 144K
• Assisted compliance with firm audits, with no significant findings.
• Built up client base by way of cold calling from zero revenue to a $1,000,000.00 a year run rate.

• Communicated investment options, resolved account problems and responded to all client questions via the telephone.
• Started the Virtual Evolution Group to enable representatives to train their peers on how to use new electronic resources, resulting in quicker response times for representatives answering questions.
• Member of the Quality Assurance Solution Team that addressed trends and concerns that arose in the Investor Communications department

B.S., Accounting

Education record