independent consultant

BANK OF NEW YORK MELLON CORPORATION, Jersey City, New Jersey (2004-2008)
Vice President - BNY Mellon Shareowner Services
Implemented business strategy for mutual fund clients and prospects. Executed on all strategic product, market,
brand, and sales plans. Included comprehensive communication plans: face-to-face meetings, calls, and webcasts.
• Created new start-up products, managed all aspects of integration with existing products, plans, and targets.
• Exceeded initial sales targets, identified partnership opportunity to accelerate revenue growth to $5 million.
• Designed new market collateral, presentations, and proposals. RFP rate tripled within a three year period.
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Independent Consulting: Project / line assignments in asset management, trust, and custody (2002-2004)

JP MORGAN CHASE AND COMPANY, New York, New York (1986-2001)
Vice President, Product Management -JPMorgan Fleming/Chase Global Asset Management 1994-2001

Direct responsibility for the development of mutual funds, alternative investments, and separate accounts for this global asset management group with assets of $178 billion. Extensive travel to Europe, Asia, and the Caribbean.
Led cross-functional project teams across business lines: sales, marketing, legal, compliance, and operations.
• Developed and executed product project plans. Determined prioritization processes for the strategic initiatives of the business. Proprietary mutual fund assets grew from $6 billion to $53 billion within
a six-year period. Provided ongoing vision and direction for key projects, managing the product cycle.
• Implemented operating plans for the start up of multi-currency funds (USD, Euro, Sterling) in Ireland and fund SICAV in Luxembourg. The multi-currency funds became the third largest in Ireland with assets over $4.8 billion. The Lux funds, registered in ten countries, grew to assets of $400 million.
• Implemented plans for start-ups in single and multi-advisor, multi-strategy hedge funds. Partnered with counsel on structuring, documentation, and regulator filings. Assets grew to $500 million over 2 years.
• Established close contact with distribution channels. Researched competitive products and features.
Recommended enhancements. Accessed market trends, impact, or partnership opportunities. Designed
fund collateral materials. These actions resulted in realizing revenue growth and financial savings.
• Pursued innovative product structures to increase distribution opportunities including multiple share
classes, master feeder, private label, multiple currency products, and third-party commission financing.
As team leader, provided presentations to senior management and Fund Board of Directors as required.
• Developed fund accounting, custody, and transfer agency solutions for all investment products offered.

Vice President, Service Delivery-Chase Global Asset Management-Vista Funds 1988-1994

Oversight responsibility of vendors: accounting, custody, and transfer agency. Developed business requirement documents, due diligence, system reviews, negotiated contracts and Service Level Agreements. Established metrics.
• Designed a central shareholder processing platform across multiple PBWM systems, engaging NSCC
Fund/SERV. Achieved paperless environment, automating the reconciliation process and reducing risk.
• Led conversions for Alternative Investment products from Bahamas to Bermuda and Grand Cayman. Appointed new vendors, moved accounting, custody, and shareholder files. Resolved business issues.
• Managed a staff of 14 including 4 officials. Responsible for related budget and administration.
Lawrence J. Auli
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Assistant Vice President, Investment Advisory Services –GIS Custody/Trust Services 1986-1988

Overall management responsibility for operations and relationships with advisors managing pension plans, endowments, and foundations. Managed securities processing teams for money market, fixed income, equity, derivatives, mutual and commingled funds. Performed settlement routines and residual cash management.
• Designed a plan to handle a 300% transaction volume growth while reducing transaction cost by 50%.
• Established SLA’s, metrics, and standards. Implemented call and visit programs to review issues and pursue cross sell opportunities: foreign exchange, securities lending, analytics, and other outsourcing.
• Received top performance rating in client surveys, ensuring largest account retention and growth.
• Introduced on line portfolio services to client advisors. Devised aggressive rollout program.
• Developed productivity improvement, technology enhancement plans, and MIS programs.
• Managed a staff of 25 including 2 officials. Responsible for related budget and administration.


BANKERS TRUST COMPANY, New York, New York (1975-1986)
Assistant Vice President, Investment Advisory Services-Custody/Trust Services 1984-1986

Overall management responsibility for operations and relationship management for investment advisors managing pension plans, endowments and foundations. Services included transaction processing, Fed wires processing, settlement, and cash routines.
• Established SLA’s, metrics, and standards with clients. Established call programs and onsite visits to promote additional service capabilities-on line account access for DTC affirmations and inquiry.
• Designed a call system to reduce securities fails. Reduced negative float by $200k annually.
• Developed interest claims process on erroneous broker D/K’s. Successfully claimed $225k first year.
• Managed a staff of 60 including officials and staff.

Assistant Treasurer, Advisor Services Control Unit 1982-1984

• Managed the fail control process, reducing negative float balance $6 million average daily.
• Developed ideas to improve integrity on funds within STIF. Realized $100k annual savings.
• Managed the Control Unit, having a staff of nine plus one supervisor.

Supervisor, Trust Services Unit 1979-1982

• Supervised Fail Control Unit and Ledger areas. Supervised staff of 15.

Administrator, Trust Services Unit 1975-1979

• Progressed to various staff positions while gaining experience in dividends/interest, Reorg, GNMA principal payments, and all securities types.

pace university, BBA Business Management June 1986

Member, NICSA
Member, ICI

-Operations and Vendor Management
-Strategy and Project Managment
-Global Product Management
-Strategic Marketing and Distribution
-Client Service and Relationship Management
-Business Development and Sales