Lisa Brown Email and Phone Number

•Provide on-site management, administrative and financial services using QuickBooks for small and growing companies•Personalized QuickBooks Training and Support•Design and implement the initial accounting system and processes•Perform monthly accruals,general ledger closings and prepare financial statements•Prepare 1099s, Delaware Franchise Tax, San Francisco Business Registration Tax, Sales Taxes and County Property Taxes•Payroll using ADP, PRG, Paychex, Ultipro and Intuit systems•Account analysis and reconciliation•Cash flow management and reporting•Audit preparation and coordination •Create the administrative structure for Human Resources, hire, train and supervise staff

•Establishing efficient and effective processes during rapid growth stage•Performing monthly bank reconciliations, general ledger closings and prepared financial statements•Supervising staff

•Instrumental in conversions to Oracle from QuickBooks and to Wells Fargo Bank from Comerica Bank•Implemented Concur Expense Solutions and Ultipro Payroll Service•Established efficient and effective processes during rapid growth stage•Performed monthly bank reconciliations, general ledger closings and prepared financial statements•Supervised accounts payable and payroll processes and personnel•Managed cash flow and corporate credit card program using Wells Fargo CEO and Loan Manager Product•Audit preparation and coordination

•Provide interim controller services for multiple high tech start-up companies using Quickbooks•Perform monthly general ledger closings and prepare financial statements, including consolidated financials•Prepare 1099s, 1096s, Delaware Franchise Tax, San Francisco Business Registration Tax, Sales Tax Forms and County Property Tax, Form 571•Payroll using ADP and Intuit•Cash flow management •Audit preparation and liaison•Provide human resource services

•Prepared consolidated financial statements and Form 10-QSB•Performed monthly general ledger closings, fair market valuations and income projections•Interest rate risk modeling using Profitstar•Completed the FDIC Call Report and Summary of Deposits•Assisted in preparing corporate income tax Form 1120•Audit preparation and liaison•Member of the Asset/Liability Management Committee

•Sarbanes-Oxley procedure development, compliance testing, due diligence of vendors and documentation•Supervision of sub-advisor, sub-administrator, fund accountant, transfer agent and other vendors•Annual report and semi-annual report review, production/printing and distribution•Mutual fund performance reporting to portfolio advisors and management •Reviewed and commented on forms N-CSR and N-SAR

•Partnered with Technology Department to develop system to meet new SEC annual reporting requirement and to improve and update mainframe software used to pre-authorize personal trade requests•Developed, revised, managed and troubleshot multiple Microsoft Access Databases used to monitor key employees’ personal trading•Developed and presented training seminars to key employees regarding Rule 17j-1 policy and procedures•Monitored personal trading of over 400 persons; determined and implemented resolution of violations and reported findings to Senior Executives in quarterly meetings•Prepared books and records for Securities and Exchange Commission Audit•Supervision, development and training of staff

•Completed registration statements and amendments in compliance with Form N-1A regulatory guidelines•Reviewed proxy statements, annual reports, semi-annual reports and N-SAR filings for content and accuracy•Reviewed, updated and filed prospectuses, SAIs and supplements annually and/or as required•Coordinated and incorporated relevant information and changes required to update prospectuses and SAIs•Received and incorporated SEC reviewers’ comments on registration statements and N-1A amendments•Recorded and wrote minutes for the Audit Committee Meetings of the funds’ Board of Directors•Coordinated funds’ Board of Directors’ meetings; reviewed and compiled books required for Board meetings•Managed fund trading agreements process and reviewed contracts: futures, securities lending and repurchase agreements

•Developed and maintained positive client and client and vendor relationships•Reviewed, approved and filed regulatory documents for mutual funds required by the SEC and the IRS•Registered, planned and implemented the launch of new mutual funds•Project management for prospectus and supplement printings and mailing projects•Performed daily, monthly and quarterly compliance testing for SEC, IRS, prospectus, state and rating restrictions for over 120 portfolios•Supervised and trained staff in the performance of custodian asset holding reconciliations, 17f-2 audit processes and fund compliance testing•Managed the proxy solicitation process•Reviewed, executed and maintained service provider agreements•Assisted in coordination of SEC audits