Hello! Here is what I bring to your organization...
I’m an experienced, hands-on, senior-level operational leader with comprehensive relationship-building skills and advanced supervisory acumen. Expertise in global operations management (e.g., finance, accounting, marketing, compliance), strategic leadership and corporate business development, in various industries, most notably in financial services with extensive knowledge in investment funds and securities servicing.
Proficient in change-management (e.g. launching companies, departments and products, mergers / acquisitions, restructures), developing talent, and establishing effective relationships from the boardroom to the front-line. Demonstrated leadership and collaboration skills – local, remote, domestic and international – assimilating quickly in multicultural environments, providing world class service with tangible results to clients, partners and colleagues alike.
Self-confident, organized, and motivated, bringing creativity and an entrepreneurial spirit to all business endeavors. Multi-lingual, dual citizen (US and EU) with a B.S. degree in Finance and a Master degree in Global Management.
scientia est potestas
Knowledge is Power
Finance and accounting engagements, Interim Financial Controller • Build-out of an accounting and financial reporting shared services team • Streamlined accounting system structure and chart of accounts; automated through the use of bots to minimize manual journal entries with the goal of shortening the monthly reporting cycle and minimizing intervention and errors • Analyzed and documented client lifecycle to improve/ streamline the client onboarding and overall experience • Process reengineered private equity real estate process from prospective opportunity through onboarding and ultimately liquidation
Family business, professional services firm focused upon bringing its customers a suite of service offerings in a concierge approach. • Founded company, developed Business and Sales & Marketing plans, oversight of 15 staff members • Generated 6-figure sales annually; established strong 250-account customer base, 100% organically grown • Successfully sold company in 2018 for a profit
Preeminent and pioneering global asset management firm in existence for over 75 years with operations in more than 35 countries and over 10,000 employees. • Global head of a shared services department responsible for the development, quarterly production and dissemination of more than 15,000 multi-lingual marketing pages, consumed globally by Sales; ensuring consistency of information across multiple platforms and departments • Developed a Concierge Services team, which was created to establish and maintain relationships with internal customers (e.g. Sales and Client Service), fielding and replying to all inquiries as well as educating on self-service solutions • Oversight of 35 staff members in 7 locations across 5 countries; direct supervision of 5
The world's largest asset management firm and through one of its acquired companies, Barclays Global Investors developed passive index investing strategies and pioneered exchange-traded funds ("ETFs"), branded iShares. • Managed development, production and distribution of shareholder semi-annual and annual reports for more than 200 unique ETF products, including corresponding audits across 5 different reporting cycles • Managed production of, and ensured timely SEC regulatory filings (e.g., Forms N-SAR, N-CSR, and N-Q) in accordance with the Investment Company Act of 1940 • Managed Disclosure Controls and Procedures (“DCP”) process
MULTIPLE CORPORATE ENTITIES (see CLIENTS)
Pre and post merger analysis and integration, financial planning and analysis / fp&a, financial and operational process workflow analysis, documentation, and re-engineering, co-sourced internal audit, Sarbanes-Oxley internal controls review, documentation, testing, remediation, and attestation assessment.
Life insurance, pension and investment company serving more than 40 million customers globally. • Established Luxembourg operating company and offshore domiciled product (SICAV) with several portfolio offerings able to be sold into more than 35 different countries • Managed RFPs, negotiated and executed multiple third-parry servicing agreements with sub-advisors, custodians, transfer agents and fund accounting providers • Developed sales and marketing plans including executing distribution agreements • Served as Controller of an international joint venture, presenting at Board and Audit Committee Meetings • Director of Fund Administration oversaw all mutual fund accounting, financial reporting and regulatory compliance
Senior Fund Accountant
Established World's largest mutual fund and ETF firm; pioneered one of the first mutual funds almost 100 years ago. • Tracked daily cash and communicated to Portfolio Managers • Recorded daily shareholder activity • Monitored Portfolio trade settlements • Monitored and processed corporate actions • Calculated daily NAVs and reported to exchanges • Reconciled G/L accounts • Performed audit work in conjunction with external auditor review and prepared financial statements • Reported performance data to reporting agencies • Submitted regulatory reports to the SEC
Awarded from the University of Phoenix.
Awarded from Saint Joseph's University.
FINRA SERIES 7 & 63
Between 2003 until 2009 and 2014 until 2023, led consulting engagements, most recently as interim Financial Controller, specializing in finance and accounting, co-sourced internal audit, process reengineering including automation and redesign, financial planning and analysis / fp&a, financial and operations process workflow documentation, and Sarbanes-Oxley internal controls reviews through attestation. For more details, download my CV / Résumé Addendum.
Shipping / Transportation
Shipping / Transportation
Pharma / Healthcare
CA, CO, FL, GA, KY, NH, PA, VT, WA
Netherlands, Spain, Brazil, TX, CT
NJ, OH, TX
KY, CO, FL
Development of Policy
Global Operations Management
Compliance & Documentation
Bi-lingual (English & Portuguese)
FROM COLLEAGUE - EXECUTIVE MANAGEMENT
[Alan] has a very good skill set and I would vouch to put him in front of any senior level executive on a daily basis. MG, Partner
FROM A CLIENT
…received positive feedback … with regard to your work at the Commercial Services division. This is excellent feedback from our largest division.
NO, Director of Internal Audit
FROM A CLIENT
[Alan] has been a wonderful person to work with. I've heard the same sentiments echoed by several members of our accounting leadership and other team members.
Alan is smart, efficient, organized, and has quickly come up to speed to understand our process, the nuances of SOX, and the many things we are all juggling.
He also manages to take the words written on the pages and works with us to truly understand what the process is and more importantly, the business implications behind it. He even takes it one step further by finding ways for us to increase operational efficiency while maximizing SOX compliance. JM, SVP/Controller