• Experienced professional in the Investment Company Act of 1940 and the Investment Advisers Act of 1940• Primary lead on sub administrator adviser due diligence visits, including questionnaires and on-site visits• Primary contact for Sub-Administrator and Sub-Advisors on all compliance matters• Implement recommendations and provide guidance on regulatory issues• Compliance Liaison for Portfolio Rebalancing Meetings• Serve as Chairperson to the quarterly compliance and operations due-diligence meetings, error log and compliance trend analysis, with senior managers of FMG LLC, including the effort to coordinate and resolve matters discussed• Primary Compliance contact for on-boarding new products, new sub advisers, and replacement sub advisers• Responsible for managing the day to day portfolio compliance monitoring process• Primary reviewer of relevant SEC filings (NSAR, N-Q) • Responsible for Board reporting for all Compliance materials• Member of the EQ Advisors Trust Investment Committee • Special projects related to regulatory changes• Developed and maintain the sub adviser monthly, quarterly, and annual compliance risk matrix reports• Review of sub-advisers’ trading and compliance policies and procedures• Responsible for the Forensic Review of Affiliated Transactions and other Trade Reviews• Assist with Prospectus/SAI Amendments and Guideline and Quality Control Review

• Responsible for managing the day to day portfolio compliance monitoring process for all Trusts• Final reviewer of relevant SEC filings (NSAR, N-Q) • Conduct proxy reviews and form N-PX filings• Responsible for Board reporting for all Trusts• Assist the CCO with annual assessment testing (Rule 38a-1)• Participate in sub adviser and service provider due diligence visits• Back-up Secretary of the Valuation Committee• Code of Ethics personal trading and gifts and entertainment monitoring• Assisted in the transition of AXA proprietary mutual funds to Goldman Sachs• Provide information to internal and external auditors, regulators, and legal counsel for reviews• Supervisory responsibility of two compliance officers whose main responsibilities are:o Responsible for reviewing the day to day portfolio compliance monitoring processo Primary reviewer of relevant SEC filings (NSAR, N-Q) o Responsible preparation of Board reports for funds managedo Assist the CCO and Deputy CCO with the annual assessment testing (Rule 38a-1)

• Responsible for the coding the Charles River Development Compliance Master System and work closely with Fiduciary Oversight groups in the following countries; Singapore, Indonesia, Hong Kong, Japan, United Kingdom and United States to ensure global guidelines are met• Responsible for enforcement of policies, procedures and systems to ensure that mutual funds are managed in full compliance with the Investment Company Act of 1940 (“40 Act”) as well as the investment restrictions set forth in their prospectus and Statement of Additional Information.• Maintain centralized responsibility for receipt of new mandates and amendments to guidelines, and distribution to the various business units.• Systematic review of exceptions, escalation of issues and ensuring proper resolution for the client.• Interact with the following systems daily: Charles River and Portia for post-trade monitoring, and Bloomberg and for pre-trade.

• Responsible for recruiting, managing, training, and the development of twelve professional portfolio administrators and two officers who value Equity, Fixed Income, International and Money Market Portfolios totaling $100 billion in net assets• Review of fund descriptions related to investment strategy and operational processes• Ensure all client deliverables are met and preserve client satisfaction

• Supervise a staff of five professional accountants and one officer• Oversee operations of 23 pension, profit sharing, and 401k plans with approximately $40 billion in assets • Responsible for setting up guidelines and procedures for cash and asset management of funds• Initiate new proofs and controls to ensure accuracy• Assisted in the transition of plans from the Nations Bank acquisition • Perform annual budget analysis and performance reviews

• Supervise a staff of eight professional accountants• Oversee operations of 28 funs with approximately $20 billion in assets• Liaison between Fidelity and Bankers Trust• Ensure accurate and timely preparation of daily unit values and audited month end reports for the client• Perform periodic internal audits of various departmental function and prepare management reports on findings

• Responsible for daily workflow and training of six professional accountants with 13 same day valued funds that have combined assets of more than $3 billion• Experienced with all domestic and international securities• Involved in constant daily contact with clients to resolve problems, enhance service and improve general relationships• Responsible for quarterly/semi-annual/annual financial reporting

• Reconciliation of tax accounts on a daily/monthly/quarterly/annual basis• Process and file quarterly/annual reports to Federal and State agencies• Registration of new clients to ensure proper filing requirements• Responsible for setting up new proofs and procedures• Reorganization if tax unit to ensure efficiency• Played a significant role in the automating client accounting and check distribution processes

• Produce monthly reports on non-financial audit of participant changes• Accounts payable/receivable proofs and collection of due balances• Responsible for physical check inventory audit control and issuance of checks• Monitor Federal Reserve clearing funding and return of ET transmissions• Worked simultaneously with the tax compliance group while unit was understaffed (07/91-01/92)• Researched and resolved differences• Prepare monthly work in progress reports