• Provide financial leadership to the CEO, Board, and overall organization covering various business units, partnerships, and Funds/Trust.• Manage Fund Accounting, Daily NAV Close, Compliance Reports and preparation of Fund financial statements and Tax Returns. Also responsible for relationship with outside Auditors and Tax Preparers (Ernst & Young).• Oversee all Operations to ensure strategies are being performed properly and within Compliance/Risk. Continue to implement and monitor control procedures in order to keep all functions working effectively and efficiently. • Responsible for Fund Operations - coordinate with Administrator & Custodian (State Street), index provider (S&P), Advisor to the funds (Wilmington Trust) and outside attorney (Kaye Scholar). Coordinate and lead inquiries from regulatory agencies. • Participate in Marketing/Advertising Plans to determine & measure Print & Digital Advertising, direct mail/email, analysis of marketing statistics, FINRA compliance, and Website build-out.• Responsible for all Regulatory Filings (SEC & FINRA) and on-going discussions with Regulators. • Establish Compliance/Risk oversight – internal policies & procedures and oversight of external broker/dealer (Foreside). • Contribute to Product Development plans to build-out product line-up.• Responsible for the monthly accounting close and preparation of the management company’s financial statements (QuickBooks). Prepare monthly management reports to assist/support key decision.• Prepare and develop all Financial Planning & Analysis reports. Develop metrics using data from competitors and/or industry reports to support measurements.• Present Financial Results and Budgets & Forecasts to the CEO and Board of Directors. Prepare observations & suggestions to the CEO and Board to assist in strategic planning. • Structure financial models to manage new product P&L’s • Responsible for all regulatory filings including 10-Q’s, 10-K’s, 8-K’s, and S-1's.

• Member of the Americas Funds Management Operating Committee. Participates in strategic and tactical business decisions, and evaluates financial aspects of major business investments and new business opportunities (additional committees include Contract Committee, Admin & Service Committee, MIS Committee, Compensation Committee, and Financial Leadership Committee).• Develop and maintain financial infrastructure that operates with efficiency & flexibility and respond to the rapidly growing and demanding business. Includes developing ongoing refinement of all internal reporting used by management in running the business.• Creation and tracking of annual financial plan; including detailed involvement in creation of annual sales plan. Establishment of benchmarks and metrics to measure relative success of plan versus industry.• Overall responsibility for expense management including ensuring adherence to corporate expense policy.• Financial oversight for development and creation of annual sales commission plan for all channels. Responsible for reviewing and maintaining controls over monthly calculation process.• Oversight and responsibility of business MIS directly impacting sales reporting process and relationship between key data providers and underlying systems.• Analysis of fee sharing arrangements with third part intermediaries. • Review and provides insight to pricing structure for new product launches • Oversight of financial due diligence for all strategic initiatives• Responsible for the oversight, management, training, and development of the finance team.

• Member of Seven person Executive Committee for Retail Products & Distribution• Analyze product profitability, segment profitability, budgets/forecasts • Developed customized pricing for broker-dealer tailored products • Performed detailed work on Retirement Business • Negotiate with various broker/dealers (Wirehouse/Independent firms) regarding entry to Platforms and associated agreements between firms)• Analyze external & internal wholesaling force to optimize production • Develop and implement compensation structure for Sales Group• Implement Sales CRM, Sales Reporting, Database Management, remote reporting• Oversee intercompany issues and worked closely with internal HR, Legal, Finance, IT departments• Partnered with Corporate Parent to determine transfer pricing and allocated expenses•Involved with the coordination of SEC, FINRA, Compliance, and Internal Audits• Responsible for business relationships with Transfer Agents, Custodians, Fund Legal/Audit firms• Worked with Market Metrics, Coates Analytics, Kasina, Greenwich, Wheelhouse Analytics, Access Data, and other industry consultants• Review monthly financials, FINRA quarterly Focus Report, and annual AuditExecutive Vice President, Finance 2000-2006• Oversaw the entire finance function for mutual funds, institutional accounts, managed accounts, and portfolio management business divisions (budgets, forecast, accounts payable, receivables, financial statement reviews)• Implemented Account Receivable software (Bonaire) • Calculated Performance Fees on our Institutional business• Developed monthly review process on Most Favored National Clauses• Developed receivable and cash flow reporting for our multi sponsor Managed Account Platform• Involved with RFP/RFI’s for Institutional business• Responsible for Fund Accounting for 529 business (including annual audit)• Reviewed business acquisition and due diligence (and involved in the integration of Mutual Fund and Managed Account businesses)

• Prepared and analyzed consolidated financial statements for publicly traded organization• Oversaw the entire accounting process (monthly closing, receivables, payables, filings)• Worked on the consolidated federal and state tax returns and deferred tax calculations• Created annual business plan (budgets, projections and forecasts). Interviewed, corresponded, and followed-up with all departments to develop and implement annual plans• Prepared income savings and pension plan financial statements• Produced and filed SEC 10-Q, 10-K, 8-K reports, Press Releases and NASD Focus Reports• Assisted in the Due Diligence process (with investment bankers) during sale process

• Completed Corporate internal audits (Corporate Finance, Treasury, Marketing, Operations)• Reviewed SEC filings (10-K, 10-Q, Proxies)• Raised Capital through issuing bonds (filing debt prospectuses)• Audited internal departments to ensure they followed corporate policies• Assisted in the implementation of new corporate policies• Conducted franchise audits to ensure franchise fee calculations were accurate

• Prepared and reviewed work papers for numerous certified audit & review engagements• Prepared corporate and individual tax returns (including tax estimates)• Supported various business acquisitions / sales analysis• Conducted Inventory audits• Tested company adherence to policies