Experience

ALPS, A DST Company

• United States
• Financial Services
• 1 - 100 Employee

• Manager, Investor Services

  • Oct 2021 - Present

• Alternative Investment Supervisor – Reviewer

  • Aug 2018 - Oct 2021

  • Review and approve the reports of 35+ members of the Investor Services department, throughout five separate physical offices and dozens of remote offices for both Hedge Fund and Private Equity clients • Reporting reviewed on a regular basis include, but are not limited to: monthly/quarterly subscription, redemption, and transfer summary reports; monthly/quarterly investor registers; Hedge Fund and Private Equity distributions; contract notes; audit confirmation statements; contact changes;… Show more • Review and approve the reports of 35+ members of the Investor Services department, throughout five separate physical offices and dozens of remote offices for both Hedge Fund and Private Equity clients • Reporting reviewed on a regular basis include, but are not limited to: monthly/quarterly subscription, redemption, and transfer summary reports; monthly/quarterly investor registers; Hedge Fund and Private Equity distributions; contract notes; audit confirmation statements; contact changes; addition or alteration of Funds’ class terms; Fund onboarding; Fund closures; delivery of audited financial statements and K-1 statements; addition or alteration of investor wire details; wire payments for Treasury clients; payment statements for non-Treasury clients; BCC e-mail distributions; investor information reporting; historical transaction reporting; and any other ad-hoc requests or reports • Ensure the accurate processing of investor transactions in accordance with Fund, investor, and legal documents • Review and release wires for investor redemptions by using SS&C GoWire, Northern Trust, Wintrust, First Republic Bank, and Bank of America platforms • Assist in the ongoing training of Reviewer team, as well as maintenance and expansion of Reviewer procedural manuals and materials • Identify system and process enhancements to reduce operational risk, create efficiencies, and improve client service • Aid the Investor Services, Fund Accounting, and Treasury teams as a subject matter expert • Successfully complete the entirety of the 2018-2019 Elevated Risk and PEP Monitoring Project, as well as implement the processes and procedures for the continuation of the 2020 Project • Ensured continued superior level service during the SS&C acquisition of ALPS/DST • Served as a subject matter expert in the remote work space during the COVID-19 pandemic and the firm’s shift to remote work

• Alternative Investment Supervisor - Team Leader

  • Dec 2016 - Aug 2018

  Boston, Massachusetts • Youngest Investor Services Supervisor in Firm tenure • Serve as the main point of contact for several of the Firm’s most valued clients • Manage a team of two Alternative Investment Administrators; ensure a high standard of excellence and client satisfaction • Serve as an escalation point for Investor Services and Fund Accounting teams • Review correspondence with Hedge Fund clients and investors regarding AML documentation, transactions, performance, and statement reporting •… Show more • Youngest Investor Services Supervisor in Firm tenure • Serve as the main point of contact for several of the Firm’s most valued clients • Manage a team of two Alternative Investment Administrators; ensure a high standard of excellence and client satisfaction • Serve as an escalation point for Investor Services and Fund Accounting teams • Review correspondence with Hedge Fund clients and investors regarding AML documentation, transactions, performance, and statement reporting • Review Funds’ governing documents, specifically as it pertains to subscriptions, redemptions, and assignments • Serve as a member of the Culture and Activities and Senior Management Liaison

• Senior Alternative Investment Administrator

  • Jun 2016 - Dec 2016

  Boston, MA • Ensured continued superior level service during the ALPS/DST acquisition of Kaufman Rossin Fund Services • Developed a comprehensive training program for new hires on the Boston Investor Services team • Answered day-to-day questions and supported in necessary escalation of issues from junior members of the Boston Investor Services team • Assisted in the feedback, adaption, and launch of new internal process tracking systems • Accepted to participate in the ALPS Mentor Program… Show more • Ensured continued superior level service during the ALPS/DST acquisition of Kaufman Rossin Fund Services • Developed a comprehensive training program for new hires on the Boston Investor Services team • Answered day-to-day questions and supported in necessary escalation of issues from junior members of the Boston Investor Services team • Assisted in the feedback, adaption, and launch of new internal process tracking systems • Accepted to participate in the ALPS Mentor Program under a Vice President of the Firm

• Senior Associate, Investor Services (Kaufman Rossin Fund Services)

  • Jun 2015 - Jun 2016

  • Promoted within 8 months of hire • Established and maintained strong relationships with Investment Managers and Hedge Fund Investors • Communicated and solved ad hoc requests on a daily basis with Fund managers, auditors, transfer agents, custodians, relationship managers and investors • Resource for client and investor inquiries regarding their transactions, reporting, and documentation • Understood fund, investor and legal documents in order to accurately and appropriately… Show more • Promoted within 8 months of hire • Established and maintained strong relationships with Investment Managers and Hedge Fund Investors • Communicated and solved ad hoc requests on a daily basis with Fund managers, auditors, transfer agents, custodians, relationship managers and investors • Resource for client and investor inquiries regarding their transactions, reporting, and documentation • Understood fund, investor and legal documents in order to accurately and appropriately coordinate investor transactions including subscriptions, redemptions, transfers, distributions, and re-registrations • Trained and mentored the new hires on the Investor Services team

• Staff II, Investor Services (Kaufman Rossin Fund Services)

  • Oct 2014 - May 2015

  Boston, MA • Utilized Advent Partner to book capital activity for Fund clients such as subscriptions, redemptions and transfers in accordance to each Fund’s offering documents • Performed anti-money laundering on behalf of the Fund according to regulations in the United States and Cayman Islands • Ensured prospective investors meet eligibility criteria including compliance with anti-money laundering guidelines, and other applicable criteria as outlined in fund or investor legal documents. •… Show more • Utilized Advent Partner to book capital activity for Fund clients such as subscriptions, redemptions and transfers in accordance to each Fund’s offering documents • Performed anti-money laundering on behalf of the Fund according to regulations in the United States and Cayman Islands • Ensured prospective investors meet eligibility criteria including compliance with anti-money laundering guidelines, and other applicable criteria as outlined in fund or investor legal documents. • Approved subscription funds received in a timely fashion enabling the Investment Manager to invest the received funds as quickly as possible • Processed wires for investor redemptions by using JPMorgan, Wintrust, First Republic Bank, and Bank of America platforms • Maintained the register of investors including contact details and other information to be used for regulatory tracking, audits, capital calls, distributions and investor reporting



BNY Mellon

• United States
• Financial Services
• 700 & Above Employee

• Investor Services Specialist

  • Aug 2012 - Oct 2014

  Everett, MA • Main point of contact for an integral Hedge Fund client of the bank, with over $2 billion AUM • Collected and reviewed subscription/redemption documents and perform Anti-Money Laundering verification procedures. Work closely with compliance, management, clients and investors to resolve any issues • Generated, reviewed, and distributed investor statements, cash acknowledgements, and confirmations for large and complex monthly and quarterly valued clients • Identified and developed… Show more • Main point of contact for an integral Hedge Fund client of the bank, with over $2 billion AUM • Collected and reviewed subscription/redemption documents and perform Anti-Money Laundering verification procedures. Work closely with compliance, management, clients and investors to resolve any issues • Generated, reviewed, and distributed investor statements, cash acknowledgements, and confirmations for large and complex monthly and quarterly valued clients • Identified and developed solutions to meet clients' individual needs • Initiated wire process for incoming subscriptions and outgoing redemptions. Worked closely with Treasury and Custody teams to ensure wires are completed in an accurate and timely manner • Processed, reconciled, and delivered audit confirmations to an array of investors, by collaboration with both the BNYM accounting team and clients’ accounting teams • Responsible for the timely completion of any projects, inquiries, or unique reports requested by the Investment Managers of the Hedge Fund Show less