Experience

Integrity Viking Funds
• United States
• Financial Services
• 1 - 100 Employee
• Treasurer, Integrity Viking Funds - COO, Integrity Fund Services, LLC

  • Aug 2020 - Present


PNC Funds

• United States

• Treasurer and Principal Financial Officer

  • Aug 2018 - Dec 2019

   Constructs policy and procedure framework for managing a highly controlled operating environment to ensure compliance with fund policies and federal securities laws  Manages design, disclosure content, prep and review of periodic regulatory & board reporting  Presenter at quarterly Board of Trustees meetings  Serves as subject matter expert on matters related to mutual fund complex  Recommends and ensures implementation of issue remediation options  Leads and… Show more  Constructs policy and procedure framework for managing a highly controlled operating environment to ensure compliance with fund policies and federal securities laws  Manages design, disclosure content, prep and review of periodic regulatory & board reporting  Presenter at quarterly Board of Trustees meetings  Serves as subject matter expert on matters related to mutual fund complex  Recommends and ensures implementation of issue remediation options  Leads and manages 5 Fund Administrators  Serves as fund Treasurer at the discretion of the boards of trustees  Directed project to implement processes and procedures for N-PORT  Instrumental in the execution and implementation of Liquidity Risk Management Program  Contributes to strategic planning and execution of key events including conversions, expense structure modifications, fund and class launches, liquidations and reorganizations Show less  Constructs policy and procedure framework for managing a highly controlled operating environment to ensure compliance with fund policies and federal securities laws  Manages design, disclosure content, prep and review of periodic regulatory & board reporting  Presenter at quarterly Board of Trustees meetings  Serves as subject matter expert on matters related to mutual fund complex  Recommends and ensures implementation of issue remediation options  Leads and… Show more  Constructs policy and procedure framework for managing a highly controlled operating environment to ensure compliance with fund policies and federal securities laws  Manages design, disclosure content, prep and review of periodic regulatory & board reporting  Presenter at quarterly Board of Trustees meetings  Serves as subject matter expert on matters related to mutual fund complex  Recommends and ensures implementation of issue remediation options  Leads and manages 5 Fund Administrators  Serves as fund Treasurer at the discretion of the boards of trustees  Directed project to implement processes and procedures for N-PORT  Instrumental in the execution and implementation of Liquidity Risk Management Program  Contributes to strategic planning and execution of key events including conversions, expense structure modifications, fund and class launches, liquidations and reorganizations Show less



PNC Capital Advisors, LLC

• Director of Financial Fund Administration

  • Mar 2018 - Dec 2019

   Designs, develops and manages the financial fund administration infrastructure supporting PNC Capital Advisors’ proprietary mutual fund complex & internally manufactured investment products  Assists with managing overall relationship of third-party service providers and vendors to ensure execution of duties in accordance with contracts and law  Trains team members, acquires and retains talent through coaching and development  Chairs and/or is an active… Show more  Designs, develops and manages the financial fund administration infrastructure supporting PNC Capital Advisors’ proprietary mutual fund complex & internally manufactured investment products  Assists with managing overall relationship of third-party service providers and vendors to ensure execution of duties in accordance with contracts and law  Trains team members, acquires and retains talent through coaching and development  Chairs and/or is an active member of adviser governance committees  Built positive working relationships with Compliance, Operations, Portfolio Mgmt. & Risk Areas  Implemented updated policies such as sub-TA policy changes, and TA Fund Direct projects Show less  Designs, develops and manages the financial fund administration infrastructure supporting PNC Capital Advisors’ proprietary mutual fund complex & internally manufactured investment products  Assists with managing overall relationship of third-party service providers and vendors to ensure execution of duties in accordance with contracts and law  Trains team members, acquires and retains talent through coaching and development  Chairs and/or is an active… Show more  Designs, develops and manages the financial fund administration infrastructure supporting PNC Capital Advisors’ proprietary mutual fund complex & internally manufactured investment products  Assists with managing overall relationship of third-party service providers and vendors to ensure execution of duties in accordance with contracts and law  Trains team members, acquires and retains talent through coaching and development  Chairs and/or is an active member of adviser governance committees  Built positive working relationships with Compliance, Operations, Portfolio Mgmt. & Risk Areas  Implemented updated policies such as sub-TA policy changes, and TA Fund Direct projects Show less



Cohen & Company

• Real Estate
• 1 - 100 Employee

• Director

  • Dec 2003 - Mar 2018

   Executed audit plans for regulated investment companies: planning, risk assessment, review of workpapers  Executed GIPS Verifications for several investment advisors  Experience presenting to the Board of Trustees of several mutual fund families  Domestic/Int’l. equities, fixed income securities, derivatives & fund of funds client base  Tax provisions, Federal tax returns and excise dividend calculations for mutual funds

• Principal

  • Dec 2003 - Mar 2018



McCurdy & Associates CPAs

• Partner

  • Jun 1999 - Dec 2003

   Specialized in overall coordination & execution of audit plans and audit planning  Financial Statement and work paper review and board reporting  Ability to work collaboratively within a multidisciplinary group  Specialized in overall coordination & execution of audit plans and audit planning  Financial Statement and work paper review and board reporting  Ability to work collaboratively within a multidisciplinary group



Maxus Investment Group

• VP of Finance & Operations

  • May 1997 - Jun 1999

   Managed accounting department and broker-dealer operations  Coordinated and oversaw audit functions for two investment advisors and two broker dealers  Served on the management team  Strong communication skills and ability to build consensus  Managed accounting department and broker-dealer operations  Coordinated and oversaw audit functions for two investment advisors and two broker dealers  Served on the management team  Strong communication skills and ability to build consensus


Roulston & Co.
• United Kingdom
• Retail
• Chief Financial Officer

  • 1995 - 1997

Carnegie Capital Management Company
• VP of Finance and Operations

  • 1985 - 1996