Position	CFO, VP of Finance, Investment Company
Location Confidential	No
Location	Midwest USA
Willing to Relocate	No
Industry	Financial-Brokerage/Mut.Fund/Securities/MoneyMgmt
Function	FINANCE--CFO/Control/Acctg./Treas./Tax,etc.
Compensation	$100,000 to $200,000
Resume Summary
Performance-driven executive within asset mangement industry. Use skillsets to improve financial and operational functions of growth-oriented industry leader. Apply common sense business skills, analytical abilities while partnering finance with cross-functional teams to support strategic business objectives and drive profitable growth.
Resume Body      CFO, VP OF FINANCE, INVESTMENT COMPANY
SENIOR FINANCIAL MANAGEMENT EXECUTIVE CFO / COO / Vice President Investment Management • Financial Services Performance-driven and extremely motivated entrepreneurial executive offering more than 20 years of comprehensive achievements and expertise in areas of finance / investments, financial planning and administrative management. Excellent team-builder and manager with strong organizational and administrative skills. Apply common sense business skills, analytical abilities, customer focus and relationship management to drive profitable growth. Experience with domestic equity, senior loan, MLP, covered call, global income, high income, global infrastructure and exchange-traded funds. Strengths include: • Financial & Operational Leadership • Mergers, Acquisitions & Integration • Strategic Planning & Business Development • Organizational and Administrative Skills • Public & Shareholder Relations • Fund Accounting and Administration • Certified Public Accountant (CPA) • Policies, Procedures & Compliance • Personal Financial Planning • Budgeting, Forecasting, & Analysis • Investment Analysis & Portfolio Management • Organizational Leadership & Team Building MBA, Finance / Accounting • Northwestern University (Kellogg), Chicago, Illinois BS, Finance • Valparaiso University, Valparaiso, Indiana CAREER PORTFOLIO FIRST TRUST PORTFOLIOS L.P., Lisle, Illinois 2003 – Present Vice President Reported to CFO of investment management company with over $22 billion of assets under management. Focused on fund accounting, administration and operations of closed-end fund (CEF) complex that grew from three to 13 funds during first two years at First Trust. CEF AUM now totals $4.0 billion. Responsible for financial reporting and fund accounting, oversight of outside fund administrator (PFPC), coordination of monthly or quarterly dividends, compliance, leverage financing, development of financial content of web site for various funds. Participated in organizational and operational planning. Worked closely with independent accountants on annual audits of various funds and with inside and outside attorneys on legal and compliance issues. Accomplishments include: • Participated in growth of funds from three to 13 over two years and launch of six new exchange-traded funds. • Head of 4-person working group charged with improving web site presentation of CEF’s. • Developed strong relationships with those inside and outside of company because of strong inter-personal skills. • Improved shareholder reporting, fund accounting and operations process management. • Recommended plans to improve shareholder relations and reduce funds’ discounts to net asset value. BURR OAKS ADVISORS, INC., Burr Ridge, Illinois 2000 - 2003 President Launched financial planning advisory firm focusing on investment management and comprehensive financial planning. Established detailed business and marketing plan; researched and selected financial planning and general business software and supporting services; developed and launched website; networked with affiliated service providers and developed client base. BAKER, FENTRESS & COMPANY, Chicago, Illinois 1983 - 2000 Chief Financial Officer / Executive Vice President Reported to President and Chairman of the Board with 8 direct reports of this domestic equity closed-end fund and had over $900 million of AUM. In 1996, Baker Fentress acquired a New York investment advisory firm. Major restructuring was completed mid-2000 resulting in the liquidation of closed-end fund and closing of Chicago office. Recruited to maintain full internal financial reporting, nurture investor relations, manage shareholder communications, maintain compliance standards, oversee treasury function over $50 to $150 million, administer employee benefit plans and assist in the execution of corporate development initiatives. • Implemented restructuring plan over two-year period, increasing shareholder value by $175 million and reducing market discount of company’s stock price versus net asset value from 25% to less than 5%. Achieved cash distributions to shareholders totaling $650 million, and in-kind security distributions of $68 million. • Drove aggressive program to maintain extremely low expense ratio averaging 0.76% (76 basis points) over five-year period from 1995 – 2000, saving between $1.4 and $3.8 million in annual expenses compared to average expense ratios of domestic equity and mutual funds that were 95 and 135 basis points, respectfully. • Created new business development strategies for President, Chairman and Board of Directors, including rights offering that raised more than $83 million in new capital. • Improved shareholder communications through informative publications, fact book and annual reports. Developed and launched shareholder friendly website, containing updated newsworthy information. • Played pivotal role as a part-time investment analyst within small to mid-cap growth sector. EARLY CAREER PROFILE SOURCE SERVICES CORPORATION, Westmont, Illinois 1981 - 1983 Chief Financial Officer / Treasurer Nationwide search firm specializing in placement of mid-level information technology, accounting and engineering candidates with 65 offices located throughout the US and Canada. Responsible for all financial and administrative functions. Monitored cash flow and investment of $10 million in surplus cash and responsible for credit / collections function. Fostered relations with public accounting firm, outside law firm, financial institutions, valuation firm, insurance brokers and outside vendors. A/L SPORTS / ATLANTA LASALLE CORPORATION, Niles, Illinois (1977 to 1981) Administrative Vice President and Financial Analyst / Portfolio Manager STOTLER & COMPANY, Chicago, Illinois (1975 to 1977) Manager of Financial Instruments Desk PRICE WATERHOUSE & COMPANY, Chicago, Illinois (1972 to 1975) Staff Accountant – Metro Audit Department CERTIFICATIONS AND INDUSTRY ORGANIZATIONS • C.P.A. – Member of both American Association and Illinois Society of CPA’s • Series 65 Investment Advisor Exam • Member of Executive Committee of Closed-End Fund Association • Member of Closed-End Committee of the Investment Company Institute
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