Thomas Staub Email & Phone Number

- Implemented and managed a new product roll out of small/mid-market 401(k) (MEP) Multiple Employer Plans.- Managed an active case rotation of 30 plans worth a collective $50-150 Million of single-employer small/mid-market 401(k) transfer plans and new start-up retirement plan sales.- Performed at senior level and had advanced understanding of MEP master plan documents, plan provisions, platform features, record-keeping services and system capabilities, and payroll migration and… Show more - Implemented and managed a new product roll out of small/mid-market 401(k) (MEP) Multiple Employer Plans.- Managed an active case rotation of 30 plans worth a collective $50-150 Million of single-employer small/mid-market 401(k) transfer plans and new start-up retirement plan sales.- Performed at senior level and had advanced understanding of MEP master plan documents, plan provisions, platform features, record-keeping services and system capabilities, and payroll migration and integration methodologies.- Provided 1st class top tier customer service both verbally and in written format, acted as the initial/primary point of contact for Empower during the entire 401(k) conversion process, and a dedicated analyst for a select high profile/high net worth and top producing financial advisors. - Performed weekly conference calls and consults with plan sponsors, financial advisors, 3(38) investment managers, third party administrators, relationship/client service managers, regional sales director’s, prior providers, payroll vendors and various internal back office departments of Empower with respect to the timing of conversion, outstanding items, critical tasks and overall project management. - Discussed and reviewed service agreements, regulatory notices, contracts, and product features with plan sponsors, financial advisors and third party administrators for suitability and comprehension of administrative duties.- Reviewed plan provisions with plans electing internal compliance services to ensure accurate restatement of retirement plan documents. Coordinated the integration and mapping of payroll files/methods and final accounting records with the plan sponsor to Empower. Show less

• Prepare timely and accurate completion of investment partnerships annual, semi-annual and quarterly financial statements, schedules, footnotes, and disclosures and SEC Filings• Research, analyze, reconcile, and book entries to General Ledger accounts, file regulatory reports, provide information to auditors and issue data used in SEC filings and annual/semi-annual reports.• Knowledge of (GAAP) accounting procedures and financial reporting practices

 Provide Fund Treasurer expense analysis of the Mutual Fund’s out of pocket obligations, expenditures, trend analyses of rates of expenditures, comparisons of actual performance to the budgeted forecast, and identification of variances Responsible to calculate and analyze expense accrual rates, analyze Fund expense ratios, and distribute monthly variance reports to supporting business units  Create, analyze, and manage supporting forecasting models and Fund related statistics for… Show more  Provide Fund Treasurer expense analysis of the Mutual Fund’s out of pocket obligations, expenditures, trend analyses of rates of expenditures, comparisons of actual performance to the budgeted forecast, and identification of variances Responsible to calculate and analyze expense accrual rates, analyze Fund expense ratios, and distribute monthly variance reports to supporting business units  Create, analyze, and manage supporting forecasting models and Fund related statistics for 50 out of pocket general ledger accounts for OppenheimerFunds complex Show less

• Reviewed, researched, and analyzed financial data to support aspects of investment partnerships • Prepared supporting tax work papers in accordance to GAAP to support financial reporting, information returns, distribution calculations, and tax returns• Prepared Federal and State tax returns for senior staff and CPAs for OppenheimerFunds complex

• Provided informational reporting and analysis to managers on various day-to-day operations within the Transfer Agency• Designed, created, and maintained supporting MS Access Databases for inner company teams and business units • Examined budget submissions for completeness and accuracy and ensured company policies and procedures

• Instructed and provided ongoing regulatory IRS retirement training and technical assistance to new and existing customer service representatives and processing associates.• Created, developed, and implemented training modules, course materials, lectures, and presentations• Drafted, edited, and coordinated external regulatory mailings, departmental bulletins, and procedures