Details- and Results-Focused Leader Committed to Optimizing Your Company s Financial, Business & Operational Initiatives

SMA Operations ￨ Institutional Compliance ￨ New Business Development ￨ Project Management

Strategic Analysis / Planning ￨ Trends Tracking ￨ Team Building / Training ￨ Process Optimization

Investment Operations ￨ Account Management ￨ Policy / Procedure Development ￨ Regulatory Compliance

Highly Accomplished Leader who drives sound decision-making processes to continually reflect positively on financial / business operations initiatives and seamlessly align with an employer s strategic vision, value, and goals. Top Performer who offers solutions-centric critical thinking for insightful, change-oriented results, who rises above challenges to improve the bottom line and achieve winning outcomes, and who quickly adapts to evolving scenarios. Excellent Communicator who develops synergistic relationships with cross-geographical executives, business teams, and clients of diverse cultural, ethnic, and socioeconomic backgrounds, and who leads multidisciplinary peers by example and with ethics and integrity.

Thornburg Investment Management, Xxxxxx, NM (2007 Present)

Director SMA Operations ￨ Institutional Compliance

Capitalize on the opportunity to lead forward-thinking daily operations within Thornburg s separately managed account business, including directing reconciliation processes and related activity among 23,000 accounts across 8 different investment strategies. Coordinate and lead critical compliance reporting for both sub-advised and institutional accounts.

  Directed the efficient trading system conversion of up to 13,000 client accounts.

  Expertly streamlined procedures to sustain continued growth without hiring new staff.

  Successfully automated a monthly commission process that consolidated 8 hours into only 1 hour.

Xxxxxx Trust Company, Xxxxxx, NM (2005 2007)

Project Manager

Strategically steered high-level projects within a fast-paced Operations Department, including recruiting, training, mentoring, and managing a top-performing team; recommending process improvements; and implementing new technologies for efficient workflow. Led a Cash Processing Team in handling transactions for 700+ accounts daily.

  Served as the leader of the Disaster Recovery Planning Committee.

  Developed a new companywide internal communications and tracking tool.

  Authored a detailed Policy & Procedures Manual for the Operations Department.

  Defined and implemented a business continuity plan and secured an alternate business site.

Fidelity Investments, Boston, MA (1998 2004)

Team Leader Trust Operations (2003 2004)

Utilized broad scope of industry knowledge toward directing high-volume Trust Operations associates in the servicing of private wealth personal trust funds for Crosby Advisors, as well as operations for a Fidelity family office. Ensured seamless daily procedures and transaction processing across 200 Trust Funds within an accurate and timely manner. Executed year-end tax reporting initiatives, including generating and verifying 1099 and 5498 tax reports for clients.

  Developed a new Trust Operations-specific, 300-page interactive procedure manual.

  Initiated several automated functions to streamline processes and reduce manual errors.

Team Leader Institutional Accounting (1998 2003)

Applied strong leadership talents toward directing a 5-member Institutional Accounting team while co-managing a details-centric group of 10 Accountants in exceeding goals. Developed a job shadow program to assist with career development.

  Launched a flexible work schedule to reduce overtime by 5% and boost overall team morale.

  Saved $20,000 by developing a new automation process for a manually intensive billing procedure.

Bachelor of Science in Actuarial Mathematics Worcester Polytechnic Institute, Worcester, MA

APX / Advent ￨ InvestOne ￨ APL ￨ Vestmark ￨ Charles River ￨ Accutrust ￨ Microsoft Excel Certification

Date

Hiring Agent Name

Company Name

Address

City/State/Zip Code

Dear__________________:

I am exploring a new career opportunity within a challenging [ Insert Job Title ] role, and I believe that I can make a positive contribution to your success. Please note that I am currently in the process of relocating to [ Insert City or Metro Area in MA ] and can be available for a personal interview within [ Insert # of Business Days ] of contact.

To acquaint you with my background, I demonstrate proven talents in SMA Operations, Investment Operations, Institutional Compliance, New Business Development, Account Management, and Regulatory Compliance. I am also well-versed in Team Building / Training, Project Management, Strategic Analysis / Planning, Trends Tracking, Policy / Procedure Development, and Process Optimization, among other areas. Furthermore, I consistently achieve winning outcomes due to my superior skills in critical thinking, time management, workflow prioritization, and attention to detail.

To complement this experience, I earned a Bachelor of Science in Actuarial Mathematics from Worcester Polytechnic Institute, and offer proficiency with APX / Advent, InvestOne, APL, Vestmark, Charles River, Accutrust, and Excel.

As the Director of SMA Operations / Institutional Compliance for Thornburg Investment Management, I expertly lead daily initiatives within Thornburg s separately managed account business, including directing reconciliation processes and related activity among 23,000 accounts across 8 different investment strategies. Within this role, I successfully coordinate and lead critical compliance reporting for both sub-advised and institutional accounts to drive continued success.

A sample of my accomplishments include:

  Directing the efficient trading system conversion of up to 13,000 client accounts.

  Expertly streamlining procedures to sustain continued growth without hiring new staff.

  Successfully automating a monthly commission process that consolidated 8 hours into only 1 hour.

As this is just an example of my abilities, please refer to my enclosed resume for additional financial leadership experience.

I am eager to discuss how my qualifications uniquely match your current and future needs, and look forward to interviewing with you soon.

Sincerely,

Yyyyyy x. yyyyyy