Sherwin S. Email & Phone Number

Fort Lauderdale, Florida, United States

 Monitor project scope, schedule, and funding system to identify risks and perform qualitative/quantitative risk analysis to assess the probability of occurrence and analyze identified risks’ effect on overall project objectives. Coordinate project work with associated project managers, subject matter experts, and other system managers, proposing courses of action and solutions based on industry best practices. Implement solutions to improve business efficiency, performance, cost control, and professionalization of employee base, defining the control deficiency, risk, management suggested action, and implementation date. Perform quality assurance by auditing work performance information and quality control measurements to ensure processes met quality standards and performed appropriate change requests. Review design, operation, and implementation of internal controls, performing walkthroughs to satisfy significant processes, including tracing transactions and events, both routine, recurring, and unusual.

Stamford, Connecticut, United States

 Provided leadership and management for a data team within the Shareholder Services Department, working collaboratively to deliver timely, high-quality financial data.  Performed people management and administrative functions, conducting performance reviews and regular appraisals to ensure each team member works toward clearly defined and accepted professional and personal goals. Monitored and analyzed individual and team performance metrics to achieve business and development goals; identified opportunities for increasing productivity, efficiency, and accuracy. Strategized and implemented effective resource utilization and performed cost/benefit analyses while performing data quality assurance and identifying and analyzing service quality issues. Created and updated documentation of work processes, maintaining formal knowledge in centralized and web-based services.

United States

 Managed a team of 3+ professionals, analyzing global intermediary payments across multiple fee types; outsourced mundane transactional work to Best Alternative Outsourcing, allowing the team to focus on analytics and automation. Analyzed Third Party Fees, Revenues, Expenses, Amortization, and Marketing, presenting reports to Western Asset Fixed Income, Equity, Closed-End, and former Legg Mason Boards. Led cross-functional team to manage automation projects utilizing Xceptor to streamline the validation of global intermediary payments and create efficiencies by reducing risk and increasing utilization capacity. Accomplished Intermediary Policy (IP) with high-level fee analysis and comparison to industry surveys across 40+ account funds and prepared senior management for a mutual fund board presentation. Directed Finra Sales Limitation, interfacing with analysts and managers to ensure compliance with Finra rules and regulations.

Stamford, Connecticut

 Analyzed 12b-1 fees, monthly costs, and asset fluctuations to ensure reasonable and appropriate fees from various intermediaries. Evaluated fund limits on Transfer Agent and Fund Accounting fees, providing strict analyses for IP, PF reports, 12B-1 and Rev-Share Reconciliation, Rollforward and Variance, and SAI disclosures. Managed and supported product development initiatives to potentially enhance the overall product line, providing strategic leadership and guidance throughout the entire product development lifecycle.

 Supervised analyst groups in establishing policies and procedures over expense recognition, month-end closings, accruals, annual budgets and forecasts, and consolidated expense reporting and analytics. Prepared annual GFP budget to be submitted to Legg Mason Finance; developed guidelines and established timelines, providing guidance and tools to ensure accurate data collection and consolidated analysis. Reviewed expense base and monthly GFP expenses to ensure reasonable sums compared to forecasts, anticipating shortfalls, and provided advice on budgetary opportunities for overall expense management.

 Managed a staff of 5+ professionals, preparing and analyzing printing allocations and streamlining payments for 3+ separate business units, including Canada, New York, Baltimore, Dublin, and Luxembourg. Assisted the VP of Finance on ad hoc projects, prepared third-party payments, and provided budget analysis and forecasts. Accomplished monthly and mid-monthly processing of the management fees, including 12-B1 fees for New York and Baltimore.

 Supervised 5+ employees, evaluated job performance and conformance to regulations, and recommended appropriate personnel action to optimize workflow while developing and training new employees. Interfaced with Offshore groups in streamlining payment information and foreign currencies, creating and maintaining policies and procedures with senior management. Collaborated with Senior Management to develop budget estimates in line with enterprise goals, reporting and consulting on P&L metrics through analysis, incurred losses and expenses, investment income, and operational adjustments.

New York, New York, United States

Maintained an updated reference of all wires and transactions requested, received, sent out for approval, and paid. Delegated tasks to various custodian banks for payments, including PNC, Chase, State Street, and PFPC Dublin. Assisted in preparing year-end 1099 returns for Board Directors and printed reports to verify fund, custodian, and vendor requisitions.