Kevin Scully Email & Phone Number

Wayne, Pa, Us

Philadelphia, Pennsylvania, United States

• Oversaw the operations department of a financial services company’s Asset Management Group• Managed all mutual fund operations, corporate actions processing including Foreign Tax Reclamation, security master and pricing, physical vault assets including alternative fund processing, and asset transfers• Led the operations of 100+ employees within the securities processing team that spanned multiple geographic sites• Reduced turnover by 70% during the Great Resignation period by establishing stronger staff communication channels and by identifying training programs to address skill gaps• Decreased time to transfer client assets by 35% through the adjustment of processes • Saved clients $3+ million annually by creating a plan to take advantage of US Treaty Rates• Created an organizational structure model to enhance client services to improve client engagement • Reduced headcount by 10% through process improvement and technology

Philadelphia, Pennsylvania, United States

• Managed the mutual fund operations, corporate actions processing including Foreign Tax Reclamation, and security master and pricing• Directed 50+ employees across multiple geographic sites• Reduced vendor costs by 10% through contract negotiations, saving $300k• Increased team engagement by 20% leading to greater efficiencies and profits• Developed and promoted team members by creating opportunities to showcase talents

Greater Philadelphia Area

• Led all corporate actions processing including Foreign Tax Reclamation• Managed 25 employees and oversaw project team to install new Corporate Actions processing platform to replace legacy system• Installed control system to reduce risk of operational losses by 90%• Increased client class actions dollar claims by 73% and fees generated by 68%

o Responsible for all corporate actions processing plus stock options, ETF Conversions, Proxy and Annual Report handling and Options Administration.o Managed 29 employees across two sites (Pennsylvania and Arizona)o Led Project Team to a complete redesign of Voluntary Corporate Action process Project recognized as Six Sigma Initiative of the Year Winner (out of 64 nominations and hundreds of projects) Reduced error rates by 49% Reduced $ losses by 92% Raised achievement of standard for clients from 37% to 95% Reduced cycle time of communications by 18%o Developed, trained, implemented and established a new team within the Brokerage Department focused on and tasked with leading the conversion processes to Self Clearing Broker/Dealer Created, developed and tested Desk Level procedures for implementation as a self-clearing broker dealer  Developed new Written Supervisory Procedures for self clearing functions to evidence proper supervision in accordance with FINRA 3010 Trained and coached team on new functions and responsibilities to include announcement & entitlement capture, response management and reconciliation

o Responsible for middle office functions such as Voluntary Corporate Actions, Problem Resolution, Client Complaints, Client Correspondence including emails, Forecasting, Reporting and Workflow management, Quality Audit, Restricted Stock and Control Persons Processing, and Alternative Investment Processing Managed 25 employees across two sites (Pennsylvania and Arizona) Implemented communication plan to coordinate identification of complaints throughout all departments of the broker/dealer so that we successfully met FINRA deadlines for filing complaints Led project to capture and restrict control persons’ trading to comply with SEC Rule 144 Designed and implemented improved Written Supervisory Procedures (WSPs) to properly control processes and evidence supervision Designed new metrics to allow our internal clients to make informed decisions for performance management

o Responsible for trading functions such as Block Orders, Trade Disputes Resolution, online order review, books & recordso Supervised 10 employeeso Developed, created and implemented a new Order Management System Built Rules engine, scripted messaging to clients and internal processors Enhanced rules to reduce manual intervention (improved STP from 50% to 95%)

o Responsible for Front Office functions that included client service requests and trade processing via the phones o Supervised teams of 12-18 employeeso Developed dozens of employees to achieve their career goals including several employees reaching management positions

Held various entry level positions : client service associate, problem resolution associate and senior associate positions.

Mba, Finance

Bba, Finance

Activities and Societies: Track Team, Theta Delta Chi

High School Diploma