Koichi Ronald Shimoda Email & Phone Number

Vancouver British Columbia Canada

Provide suitable investment advice to sustain clients’ financial peace of mind based upon accurate, complete and proper understanding of objectives and risk tolerances of investors. Leading effort to grow business in our independent office by increasing asset base by developing and instituting better solutions, acquiring appropriate books of business.

Outside 23 Wards, Tokyo, Japan

• Energised the organisation and provided leadership to develop and execute HR consulting solutions as the drivers of growth and profit.
• Reformed and realigned our organisation to achieve business plan by focusing on differentiating our organisation by providing solutions to key pains.
• Led team to exceed sales and profitability targets by 60%.
• Increased visibility by having content on Ageing, Individual Choice and Talent Mismatch published in various journals such as: the Harvard Business Review and participated in various events and associations (i.e..
• Enhanced our organisation by better selection and development of talent in selected areas of expertise and leadership roles.
• Developed the relationship and trust with key decision maker on the Board of Directors of a “keiretsu” chemical company. The trust enabled me to sell Right Management to develop and execute one global Human Resources.

Outside 23 Wards, Tokyo, Japan

• Provided sales and marketing focused on Financial Institutions.
• Sold consulting, system integration and outsourcing projects to transform distribution, and underlying business processes and systems to build high performance financial institutions.o Sustained outsourcing business to.
• Enhanced image and visibility in the market place.o Managed research survey on the impact of deregulation, bancassurance, and Japan Post privatization, ageing and changing consumer behavior with a focus on building.

Responsible for making profitable investments in companies focusing on Technology, Lifestyle and Mineral Exploration.

Outside 23 Wards, Tokyo, Japan

• Led the establishment of a corporate Defined Contribution (“DC”) Pension business through a joint venture between ING Group and the Principal Financial Group, balancing the needs of two equal shareholders.
• Led only foreign firm ranked 6th in number of corporate DC pension plans sold as of March 31 2005 in competition with major domestic incumbent financial institutions.
• Developed and implemented business strategy such as focus on Small Medium Sized Enterprises and adapted tactics such as Internet based EZJ401K to better meet changing market conditions and expand distribution.
• Selected the ad agency, theme and advertisement that received the 51st Annual Advertisement Award in the finance industry sector from the Nihon Keizai Newspaper (Nikkei).
• Authored articles on DC Pensions, Ageing and Wealth Management that were published in various journals and newspapers, such as the Nikkei.
• Completed the dissolution of ING/Principal Pensions Co. Ltd, within the tight deadline of 9 months set by the Shareholders while taking proper care of the concerns of personnel, clients, Independent Agents, vendors.

Outside 23 Wards, Tokyo, Japan

• Led Independent Agency and Tied Agents distribution channels, market research, strategy and product development, sales education and recruiting.
• Re-structured Tied Agents into retail focused financial planning distribution channel and more than doubled the number of Tied Agents.
• Grew the Investment Trust business, increasing sales by a factor of six and the number of securities licensed agents by a factor of four.

Vancouver, British Columbia, Canada

• Established investment products sales in Western Canada including recruiting independent agencies, while supervising sales activities of financial advisors in Western Canada as the B.C. Provincial Compliance Officer.
• Obtained securities registration to transact investment trusts from the B.C. Securities Commission for Equinox Investor Services, Inc. on March 5 1999.
• Provided initial, on-going education and training with marketing and promotional activities, including recruiting over 50 financial advisors in the initial nine months.

Vancouver, British Columbia, Canada

• Provided consulting services in the financial services industry, public markets and corporate governance.
• Founder and Director (August 1997 to February 15 2000) of VSM MedTech Inc (“VSM”). I was instrumental in obtaining listing on the Vancouver Stock Exchange. VSM focuses on the design, development and commercialization.

Vancouver, British Columbia, Canada

• One of five Executives instrumental in rebuilding CMO into a full service national securities firm, and within three years, CMO became the ninth and forty-second fastest growing firm in the province of British Columbia.
• Member of a team responsible for transforming a financial planning firm into a SRO registered securities firm.
• Re-structured the organisation and trained managers to ensure efficient and productive business and created a positive work environment leading to staff turnover of less than 1%.
• Implemented and enforced sales and trading procedures and policies, creating a more efficient process to better service the needs of customers.
• Selected and implemented front end trading system, trade processing system and financial quotation services to create a more productive process.

Vancouver, British Columbia, Canada

Provided consulting service on management, finance and operations in the financial service industry.

Outside 23 Wards, Tokyo, Japan

• Managing Director Asia Pacific Region and Chief Representative in Japan and Tokyo Branch Manager. Tokyo, Japan (1991 to 1992).Led Sales and Trading of Fixed Income, Equities, Commodities, Derivatives and Structured.
• Selected and implemented front end trading system, trade processing system and financial quotation services to create a more productive process.
• Increased morale and productivity by ensuring timely clear two-way communication with sensitivity to local culture and methods.
• Led Tokyo, Hong Kong and New York teams to implement a structure to support trading in South East Asian Government Bonds.
• Implemented strategic initiative to convert compensation for regional sales persons from commission grid to salary plus bonus.
• Led the selection and implementation of an equities trade processing system for the Hong Kong Office increasing capacity by 600%.

Outside 23 Wards, Tokyo, Japan

• Led Finance, Information Technology, Operations and Administration functions of four legal entities as the Senior Financial Officer. Reported to the Regional General Manager.
• Obtained the approval of the Ministry of Finance to sell a US$25,000,000 Futures Fund.
• Led the conversion to the NRI I-Star trade processing and accounting management information system.
• Created a seamless underlying infrastructure process from initiation of transaction to settlement and execution to the legal books of record and reporting to payments and receipts.
• Created a single integrated infrastructure to support the businesses of four legal entities.

Outside 23 Wards, Tokyo, Japan

• Led Accounting, Finance, Administration and Operations in Asia Pacific. Reported to the Financial Controller Head Office, New York.
• Key member of team sent by Head Office to correct the problems of the Tokyo and Asia Pacific operations and to ensure clear, timely two-way communication.
• Hired and developed personnel for the finance positions in the Tokyo office.
• Created or modified the financial reporting infrastructure in Asia Pacific to ensure compatibility with Head Office along with accounting management information system to provide timely, accurate and complete financial.
• Selected and implemented NRI I-Star as the trade processing and accounting management information systems.
• Worked with regulators to ensure that Private Placements, such as US$500,000,000 of the RJR issue were in compliance with local regulations and could be sold to local investors.

New York, New York

Managed professional staff in the performance of audits, consulting projects and the preparation of income tax report fo subsidiaries of major Japanese corporations.

Supervised one of three teams of hosts and hostesses of the Canadian Pavilion

Ba, Asia Studies

Graduate Student, Business Management

Activities and Societies: Member of Kosmic Club of International CentreI received a Mombusho (Ministry of Education Japan) Scholarship.