Sheryl Lim Email & Phone Number

Las Vegas, Nv, Us

Chicago, Illinois, United States

Processing subscription and redemptions on behalf of the investors. Preparing checklist and support documentation. Perform AML/KYC procedures for each investor coming into the Fund as well as redeeming out of. Monthly activity sent to Fund Manager/General Partner for review and approval. Verify Banking Information when monies are coming in and going out of the Fund. This information should be part of the support documentation/AML process. Provide formal confirmation back to the investor along with executed subscription document for their records if applicable. Provide formal payment confirmation back to the investor once redemption is finalized. Distribute monthly or quarterly statements to the investors after financial binder has been reviewed and improved. Submit all documentation for review and approval once finalized and scan all information to the network.

Las Vegas, Nevada, United States

* Notarizing documents for the state of Nevada

Tampa, Florida, United States

*Maintain multiple internal DDQ databases, including N: drive, SharePoint and OneNote*Create and maintain a unified and cohesive DDQ document library for sponsor and by Fund file by document type, financial statements (audited and unaudited), marketing collateral including corresponding clean letters, frequently requested items such as business continuity and succession plan, insurance policies, etc.*Assist in the coordination across internal business units / departments in gathering information and documents requested*Maintain DDQ tracking calendar / spreadsheet to ensure prompt responses and document execution and delivery*Disseminate offering documents, marketing collateral, supplements and updates across respective internal shared drives, portals, transfer agents, fulfillment providers, etc.*Maintain, archive and upload Fund documents to various Virtual Data Room (VDR) and offering document data base portals*Manage transfer agent showroom content - ensuring portal is maintained with up-to-date documents and collateral and includes corresponding FINRA clean letters when applicable*Disseminate offering documents, marketing collateral, supplements and updates across respective internal shared drives, portals, transfer agents and fulfillment providers

Las Vegas, Nevada, United States

-Serve as the first point of contact for clients and visitors in the office and by phone-Liaise with colleagues to help solve our client’s wealth-related needs-Process new account documentation, client requests, and team-related needs

Las Vegas, Nevada, United States

• CRM (calendar) management and scheduling & confirming of client appointments• Communicated with advisors and internal departments to ensure we meet our clients expectations for timely service delivery for completion of projects and reports• Recommended alternative solutions based on data collection to resolve optional issues and efficiencies• Provide daily and monthly excel reports for advisors on client accounts• Managed and reviewed daily reports for account activities that are operational in nature cash management, RMDs, periodic distributions, debits, pending settlements, etc. • Reviewed and provided suggestions for the advisor in the preparation of upcoming client meetings (i.e., paperwork, requirements, etc.)• Educated advisors and clients on the use of technology to company set goals• Help drive increased adoption revenue and net new household assets for advisors• Reduced LPL operating cost through increased usage E-Signature, E delivery, account view adoption and reduced NIGOs• Communicated with internal departments to ensure we meet our client’s expectations for timely service delivery• Ability to handle multiple projects and deadlines • Outstanding interpersonal skills with the ability to build and foster relationships • Ability to analyze and research information • Reviewed and processed advisor expense reports and financial transactions• Completed daily/weekly/monthly task and assignments assigned with accuracy for business growth and department development• Processed, new account openings, account transfer, wires, check request, distributions, and contributions• Notarized Client Signatures & Documents

San Diego, California, United States

• Analyze & maintain Kyocera’s internal reports (Hourly Efficiency) by identifying and solving financial data information & processing problems• Own departmental operations reporting and drive the completion of multiple projects in partnership with departmental leadership teams• Highlight operational issues based on data collection, and recommend alternative courses of action based on results of analysis• Review current reports and present recommendations on alternative and/or incremental automated reports to improve visibility, efficiency, cost improvement, workflow management, and communication• Consolidate, reconcile, validate, and obtain clarification of department operational information from multiple sources to develop reports and analysis• Provide support to cross-functional teams• Recommend operational process improvements, and support implementation of them• Completes daily/weekly/monthly reporting assignments and strives for accuracy• Ensure financial transactions are performed in compliance with company policies• Ensure accurate recording and analysis of revenues and expenses• Assemble and analyze data for business reports, make sure data and calculations are accurate• Perform Reconciliations on various general ledger accounts• Train employees how to follow company standards and procedures when reviewing reports• Review and Maintain Reports to meet specific needs of varying departments and teams to all levels of leadership• Worked with SAP, Microsoft Teams and Ultipro programs

San Diego, California, United States

• CRM (calendar) management and scheduling of client appointments• Communicated with advisors and internal departments to ensure we meet our clients expectations for timely service delivery for completion of projects and reports• Recommended alternative solutions based on data collection to resolve optional issues and efficiencies• Provide daily and monthly excel reports for advisors on client accounts• Managed and reviewed daily reports for account activities that are operational in nature cash management, RMDs, periodic distributions, debits, pending settlements, etc. • Reviewed and provided suggestions for the advisor in the preparation of upcoming client meetings (i.e., paperwork, requirements, etc.)• Educated advisors and clients on the use of technology to company set goals• Help drive increased adoption revenue and net new household assets for advisors• Reduced LPL operating cost through increased usage E-Signature, E delivery, account view adoption and reduced NIGOs• Communicated with internal departments to ensure we meet our client’s expectations for timely service delivery• Ability to handle multiple projects and deadlines • Outstanding interpersonal skills with the ability to build and foster relationships • Ability to analyze and research information • Reviewed and processed advisor expense reports and financial transactions• Completed daily/weekly/monthly task and assignments assigned with accuracy for business growth and department development• Consolidated, reconciled, and validated client accounts and commission accounting reports• Experienced with DocuSign and CRM applications such as Salesforce and Redtail

La Jolla, Ca

• Operational Support — assist users (enterprise clients, fund managers, advisor teams, and clients) as they navigate through investment workflows, subscriber profile creation, document completion, and troubleshooting issues• Transaction Support — assist financial professionals in the processing of subscriptions, redemptions, and account updates relating to alternative investments and assist in the transition of business from manual processing to Artivest technology • Operational Design — assist with designing workflows for each platform/product being launched, to determine how users should use our system to operate and support current business• Discovery — collaborate with other Artivest Operations teams to provide premier client service and work with Product Management and Fund Operations to identify in detail how our product needs to be configured to service new customers • Other responsibilities include Escalated Support and Product Feedback — responsible for routing customer feedback, needs, and platform limitations to the product team • Client Service Model - Provide “white-glove” service to internal and external customers and handle client requests and needs • Providing strong operations support to the sales team to maximize high-net worth client sales and productivity• Maintain databases of electronic documents, fund performance, and customer information• Enter data into excel models with impeccable accuracy• Handling customer relations issues and assisting in the retention and acquisition of assets under management

Greater San Diego Area

Maintain databases of electronic documents, fund-performance, and customer information Enter data into excel models with impeccable accuracy Provide “white-glove” service to internal and external customers and handle client requests and needs Handle varied administration projects related to office facilities, shipping, etc. Act as relief for front desk and telephone reception Provide ongoing support and reporting to multiple departments Collaborate with other Altegris Operations teams to provide premier client service

Greater San Diego Area

• Assist in preparing and executing selling agreements contacts• Coordinate with legal in negotiating selling agreements by obtaining required signatures and countersignatures and sending documentation to the appropriate parties for finalization• Prepare partner reviews and partner billing invoices and reconcile monthly partner revenue shares• Orchestrate Partner participation in the National Conference and reimburse travel expenses• Track and maintain updated Conference Sponsor cost data for National Conferences• Plan and facilitate Lunch & Learn events for the Strategic Partner and internal staff• Apply CE credits for connection calls for advisors• Update public disclosures on both internal and public websites on FASI end while supporting the FASI product and sponsor relations team• Conduct special reporting projects for the Strategic Relations team• Liaise with partner advocates across all 10 broker dealers and inform the B/D’s of pertinent information • Maintain the CFG Strategic Partner Web Portal• Add, remove, and approve portal users (both internal staff and product sponsors), reset user passwords, and update Reports and Content on the CFG Strategic Partner Web Portal• Create NSEAF (New Employee Access Forms) to grant internal broker dealer access to the portal• Obtain presentation deck and call information for connection calls from partners initiating Web Ex calls• Communicate with marketing and marketing review to obtain approval for presentation decks• Provide call information to the presenting partners • Coordinate email reminders/invites for the Strategic Relations and Strategic Products teams for the weekly calls while providing essential information to individuals hosting the call• Maintain the connection call calendar and schedule outlook meeting requests for all connection calls• Liaise between internal staff and sponsors to address issues with the portal with developers

Greater San Diego Area

• Receive and place phone calls to/from advisors and their staff, clearing firms, and other third parties regarding operational processes• Accountable for the entire process from receipt of a work item through to its resolution within established or acceptable guidelines • Optimize communications among various operational areas and people, systems, vendors and/or advisors and their staff• Review documents, enter transactions into multiple proprietary and non-proprietary systems, verify information accuracy, and resolve customer issues using various resources and records• Prepare, edit, distribute and correct specialized, complex documents, contacting the appropriate individuals for approval as needed• Process incoming and outgoing transfers within Pershing• Resolve escalated transfer items• Manage liaisons between offshore team, clearing firm, and advisors• Train and supervise offshore team and exercise quality control

Greater San Diego Area

• Provided advisor support for Enterprise Cashiering Team• Proactively identified customer needs and offered value-driven solutions by recommending appropriate products and services• Approved Branch Deposits and checked incoming mail• Processed the removal of restrictive legends on restricted securities• Deposited stock certificates and shipped out requested positions• Assisted advisors with client accounts due to insufficient funds checks and signature violations• Liaised with Contra Firms including Pershing and JP Morgan• Utilize technical knowledge in LaserFische, Morcom, and NetX 360

Greater San Diego Area

• Provided advisor and internal staff administrative support• Pinpointed customer needs and provided value-driven solutions by recommending corresponding products and services• Sorted and delivered mail• Organized and managed mailroom supplies and duties• Prepared UPS, FedEx, and USPS shipments and ordered and shipped materials to advisors• Created and maintained SOPs for the mailroom

San Diego, Ca

• Provided advisor support for Central Team Region• Proactively identified customer needs and provided value-driven solutions by recommending appropriate products and services• Updated periodic ACH, Check Requests, and Journals• Performed data entry and scannedsecure materials for customer accounts that included account numbers, documentation types (ACH, Check Requests, Retirement Distribution forms), and document classification• Processed and paid out advisor’s management fees• Managed periodic dividend and interest payouts• Qualified and approved IRA distributions• Researched and resolved complex contact files• Executed DRS, incoming full and partial Account Transfers, and DTC requests• Collaborated with Contra Firms such as Pershing and JP Morgan• Utilized skills in LaserFische, Morcom, and NetX 360

Greater San Diego Area

• Disbursed commissions for advisor accounts• Prepared Journal Entries from Deposits, Enter AEI, AEIS, and GBIM Direct Business • Addressed general inquiries and provided administrative support to FASI Advisors • Billed advisor for technology and other related fees and paid out advisor management fees• Reconciled advisor accounts monthly• Provided customer support in sales and communications • Created spreadsheets for record keeping and procedure (SOP) manuals for departmental training• Researched and responded to issues with client accounts to balance spreadsheets internally• Processed transfers of funds and ordered checks for clients• Used Contact, Xtiva, Commission Web, Solomon, Webshell, and NetXPro software systems• Printed checks for advisor payouts and processed quarterly incentives for advisors• Balanced monthly reports and analyzed broker dealer profit reports • Processed recurring adjustments and reconciled trades and monthly checks

Greater San Diego Area

• Provided customer support in sales and communications • Created Spreadsheets for record keeping and manuals for departmental training• Managed spreadsheets for incoming and outgoing ACH• Researched and responded to client account issues to balance spreadsheets internally• Tracked and reported on market activity, products, and account information• Identified customer needs and provided value-driven solutions by recommending products• Trained associates in software skills, customer service skills, and internal customer support using company procedures and guidelines• Processed transfers of funds and ordered checks for clients• Utilized programs including ADP Power Partner, Vantive, Telnet, Comptapi Admin, Oracle, Bosweb, AWD Imaging, and Fiserve• Exercised quality control for customer accounts and departmental requirements for generating hardcopies for securities while qualifying and depositing checks and retirement distributions• Updated periodic ACH, Check Requests, and Journals• Performed data entry and scans of secure material for customer accounts that included account numbers, documentation type(ACH, Check Requests, Retirement Distribution forms), and document classification• Paid out advisor’s management fees and processed periodic dividends and interest payouts• Qualified and approved IRA distributions• Researched and resolved complex case files

Bachelor Of Science (Bs), Data Modeling/Warehousing And Database Administration- Information Systems

Accounting Certificate, Accounting And Related Services

Accounting Honors Certification

Associate Of Science (A.S.), Electrical And Electronics Engineering

Associate Of Arts (Aa), Liberal Arts And Sciences, General Studies And Humanities