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• Researches and resolves customer issues following established procedures with a moderate level of discretion• Actively communicates with internal and external service providers to ensure premier service to the end client• Extract and validate reports containing holdings and performance data from various financial information systems• Distributes reports to internal and/or external clients and/or consultants for use in performance-related analysis and client reviews• Works with business units/clients to understand their data needs and enhances reports accordingly• Produces reports for use by middle and senior management• Partner with Client Relations to successfully upkeep client accounts, providing a high level of customer service to internal and external clients involved in this process• Identifies and provides solutions to enhance existing procedures• Coordinates and/or assists with special departmental projects

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 and deliverables. • 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.• Daily use of Simcorp Dimension, Goldman Sachs portal, State Street portal and Morgan Stanley portal.

• 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. • Responsible for communicating information to institutional clients, on over 150 public, private, domestic and international oil and gas companies.

• 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.• Developed and maintained relationships with high level institutional clients, ranging from large traditional money managers to oil and gas focused hedge funds.• Acquired a deep understanding of oil & gas exploration and production, refining and marketing and oil field service industries.• Coordinated management road shows.• Educated my clients in the fundamentals of the oil and gas industry.• Attended the Enercom Oil & Gas conference annually as well as all firm sponsored conferences.

• 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