Todd Raabe Email & Phone Number

Denver, Colorado, United States

The Fiduciary Services Consultant guides the work of the Broadridge advisory contract renewal business, which provides the boards of directors of US mutual funds with investment performance and shareholder expense reports needed to fulfill the directors’ responsibilities under Section 15(c) of the Investment Company Act of 1940 (the ’40 Act). Supported by investment analysts, and working with the VP of Regulatory and Compliance, the consultant author an entire reporting project, from discovery, approval of peers and qualitative analysis, to in-person presentation to a fund board. The person answers to fund company clients on content, timelines, and procedures, and is ultimately responsible for data quality, analysis, and displays.

Denver, Co

In my current role as the Board Reporting & Compliance Analyst,Major Duties / Responsibilities:Conducting a detailed comparative analysis of mutual funds in line with the expense and performance data; Actively contributing to internal process improvement projects and product development.Key Accomplishments, I attained during this role:• Rule 15(c) project management for the mutual fund industry (BlackRock, Charles Schwab, Transamerica).• Applied Rule 15(c) reporting as required by the SEC and utilized by boards of directors for annual advisor contract renewal.

Denver, Co

In my last role as the Data Analyst,Major Duties / Responsibilities:Outlining all processes and redesigning projects to ensure seamless execution of operations; Gathering, configuring, and entering European mutual fund data into Lipper databases; Learning the functioning of North American mutual fund data and products prior to relocation of the European data team.Key Accomplishments, I attained during this role:• Delivered extensive training sessions Quality Control team to minimize redundancy and rework, significantly halving the erroneous tasks.• Slashed the format duration by 25% through exact implementation of process redesign recommendations.

Denver, Colorado, United States

During my tenure as the Finance Manager,Major Duties / Responsibilities:Supervised all accruals, budgets and forecasts for 65 mutual funds. Implemented annual Sarbanes-Oxley compliance (Sections 302 and 404), while developing plans for board compensation, deferred compensation, and retirement.Key Accomplishments, I attained during this role:• Built a team to oversee $60M of annual out-of-pocket fund expenses.

Denver, Colorado, United States