Simon Holme Email & Phone Number

Tampa/St. Petersburg, Florida Area

My responsibilities include leading the Transfer Agent's Anti-Money Laundering, Trade Control, Blue Sky, Tax Reporting, and Legal Transfer Support Services divisions.

St. Petersburg

Global Risk and Control – AML/Trade Control Supervisor (2004-Present)• Responsible for mitigating risk to Franklin Resources by ensuring active monitoring of AML policies, frequent trading policy, employee fraud prevention, and various other regulatory and fund policies as indicated by department procedures.• Oversee Global Risk and Control Analyst team’s review of compliance reports to ensure the policies are being enforced and are being monitored as mandated by laws and fund prospectus.• Work with business unit Managers, Director, and Sr. Leaders across business lines as a liaison and to provide guidance on matters relating to compliance with AML & Compliance policies, as well as other fund policies. Provide information to enable other business units to understand the scope and responsibilities of AML & Compliance for the purpose of fostering a culture of ownership and accountability within and outside of the Transfer Agent. • Act as liaison for Global Risk and Control to all of the TA business units and Franklin Templeton Distributors. Also act as an intermediary between TA Senior Management, Legal Counsel, and the TA to resolve AML and Compliance situations. • Responsible for employee development including; coaching, counseling, mentoring, applicable documentation, performance feedback, disciplinary issues, training, and interviewing and hiring new employees.• In keeping with the Transfer Agent financial goals, ensure proper staffing, and efficient workflow in the department.Manage a team of 7 Analysts. Responsible for employee performance and development.Actively collaborate with Global peers in India, Luxembourg, and Canada.

 Investment Advisor Services – Supervisor (2000-2004):• Supervised the daily operations of a transfer agent department.• Ensured that a high level of service was maintained and provided to Financial Advisor community.• Developed staff and managed job performance.• Led organization’s frontline staff interviewing and hiring process.

 Franklin Templeton Management Training Program (1998-2000)Based on job performance, academic history, and overall qualifications, selected by Franklin Resources senior leaders as a final candidate to participate in organization’s exclusive 2-year management training program. The program is fast track leadership development program that exposes candidates to many facets of mutual fund operations via 4-8 month “rotations” in leadership /project management positions across organization. My participation in program included exposure to:Financial Advisor/Registered Investment Advisor Services: • Managed and supervised a team of front line customer service representatives.Franklin Templeton Distributor, Inc. (Sales - Financial Institutions Division): • Directly promoted mutual fund products to investment advisors of banking institutions via varied telemarketing campaigns.• Developed marketing tools for Internal Wholesalers of division. • Created Sales summary presentation utilized at Wholesaler annual conference.Back Office Operations• Supervised employees of Back Office/NSCC Fund Serv Operations Department• Analyzed and tracked department productivity and workflow.• Created disaster recovery plan in the event of an unforeseen problem with Y2K.Shareholder Services: • Supervised team of shareholder servicing representatives. • Project team member of initiative to establish new TA site.

Customer Service Division (1996-1998)• Legal Transfers Specialist - Developed customer correspondence addressing complex ownership issues, fund inquiries, and complaints. Processed legal transfers for open end mutual fund customers.• Shareholder Services Representative - Provided customer service to shareholder and broker dealer community.

Conducted trading on Commodities Trading Exchange on behalf of clients.

Bachelor Or Arts, English

Education record