John Redding Email & Phone Number

Elkton, Md, Us

Wilmington, Delaware, United States

Leads multiple teams of Regulatory Administration staff that provide four clients with regulatory legal support on multiple fund governance and SEC regulations such as mutual fund registration statements, proxy statements, tender offers, shareholder reports and investment company board support. Draft minutes for three separate investment company board meetings. Provides oversight and guidance around the reporting of regulatory and legislative topics that clients must address during board meetings. Leads delivery of registration statements, tender offers, proxy statements and other SEC required filing to multiple clients. Coordinates with in-house and outside counsel to ensure major filings are created and delivered in accordance with regulations. Manages relationships with multiple clients' accounting firms to ensure client information and data needed for regulatory matters are exchanged in an efficient manner. Acts as a subject matter expert regarding specific areas of legislation within the financial services industry. Directs, motivates, and develops staff, maximizing their individual contribution, professional growth and their ability to function effectively with their other colleagues as a team.

Baltimore

Governance Group Budget Director & ControllerReported to the General Counsel and developed and analyzed global P&L and yearly forecast for Governance Group with legal, compliance, internal audit, global fund administration, and risk management units spanning 31 cost centers and 10 countries. Created reports detailing monthly actuals compared to budget to inform department-level planning. Prepared schedules to allocate group costs in collaboration with Corporate Finance team and monitored Compete-to-Win expenses for adherence to budget. Compiled Quarterly Business Review for executive teams and orchestrated preparation of materials for quarterly Board of Director meetings for two distinct mutual fund boards.Master Legal SpecialistOversaw legal and compliance matters for securities including open-ended mutual funds and ETFs, drafted revised prospectuses, coordinated with internal/external stakeholders to prepare registration statements on Form N-1A, and filed statements with SEC in accordance with regulatory requirements. Reviewed shareholder reports and new account applications for Blue Sky Registration and compiled regulatory filings for all corporate-sponsored mutual funds and ETFs. Crafted responses to SEC and regulatory exam requests for information. Organized proxy statements and fund shareholder meeting documents in timely and accurate manner. Controlled corporate records and SEC filing schedule to meet all deadlines.

Wilmington, Delaware, United States

Evaluated employee performance and recommend changes in employee status. Assisted in the training of new personnel and cross-trained existing staff members on the accounting practices and procedures of each of the group's investment companies.Contributed ongoing support to the Investment Accounting Manager assisting in the coordination and review of daily, weekly and monthly investment accounting operations for a group of investment companies. Maintained the controls set forth by management in verification of the funds NAV (Net Asset Value), dividends, cash projections, various reconciliation's, yields and procedures checklists.Participated in special projects including automation of cash reconciliations and fund share.Full accounting and administration on Mutual Fund operations. Maintained daily cash availability, shareholder accounts, trades, daily NAV, monthly financial statements, expense budgets, advisor, custodian, and Transfer agent relations.Involved in full fund conversion process for new client to PFPC.Prepared and reviewed monthly financial statements, semi-annual and annual shareholder reports. Assisted with the preparation of tax returns, semi-annual reports to the SEC, proxies, registration statements, and year-end audit analysis schedules. Coordinated accounting and operating activities with each fund's specific investment advisor, custodian and transfer agent.Maintained a procedures manual for each fund and ensure that manuals are kept current. Reviewed operational controls for adequacy and compliance. Supervised a staff of 6 accountants.

Baltimore, Maryland, United States

Managed all day to day operations and goal projections of district; oversaw and implemented all policies for 100+ employees.Recruited and trained new managers.Led district to record financial results for six-month period. Managed large inventories involving 50-100 people.Achieved high profitability (+4% over standard) and 90% customer service rating.Contributed to make my District top 10 out of 330 districts

Bachelor Of Arts - Ba, Economics

Ba, Economics

Activities and Societies: University of Maryland Chorus, Gymkana