Manager Management

GEORGE G. BALM JR.

** ******** **** . ********* ** 11507

917-***-**** . *******@***.***

FINANCE PROFESSIONAL

Trade Support . Client Services . Business Analysis

Dynamic, performance-driven finance professional with extensive experience

in trade support and processing, as well as currency settlements and

comprehensive reconciliations within asset management and Hedge Fund

environments. Manages the full life cycle of new customer account

establishment, and addresses daily performance issues. Provides investment

advisory support, ensuring accurate data entry and migrations while

implementing and utilizing leading-edge processing systems. Develops and

distributes comprehensive data and documentation, SEC filings and required

reports. Spearheads operational excellence, performs and streamlines

reconciliations, and improves processes that enhance efficiency and

facilitate outstanding business results.

AREAS OF EXPERTISE

Leadership . Investment Trade Support / Execution / Settlement .

Institutional Client Services

Foreign Currency Settlements . Currency Operations . Cash / Account

Reconciliations

New Account Establishment . Existing Account Closing . Documentation

Development / Distribution

Communication . Database Management . Reporting . Issue Identification /

Remediation

Charles River / Oasys / NYFIX / VPM / Omego Utilization . Project Support .

Process Redevelopment

PROFESSIONAL EXPERIENCE

INVERNESS COUNSEL LLC, New York, New York . 2005-Present

A privately owned investment counsel firm registered with the SEC.

Operations Manager

Leads business operations, manages the database and oversees an investment

advisor's $2.3B portfolio performance. Mitigates system issues, and ensures

data is accurate and updated, as well as accurate daily pricing and

processing. Identifies and remediates daily performance issues. Initiates

new accounts and securities, and closes existing accounts. Develops and

distributes client appraisals and billing to portfolio managers. Produces

and files the 13f File to the SEC on a quarterly basis. Develops annual

budgets, and produces employee reviews, including salary and bonus level

recommendations. Serves as a Trader in the absence of the Head Trader,

conducting all equities and fixed income trade orders. Participates in

internal meetings concerning operations and organizational improvement.

Supervises the activities of 4 operation clerks' daily reconciliations.

Major Achievements:

. Slashed month end reconciliation time from 4 to 2 weeks, enhanced

billing accuracy, and enabled the daily auto reconciliation of

holdings and transactions for 1K+ accounts through the implementation

of SS&C reconciliation software.

. Enabled error free and instant electronic trades with the

implementation of a NYFIX electronic trading solution.

. Facilitated streamlined and efficient report development by managing a

reporting project that included the integration of a new asset class

of hedge funds, real estate and private equity.

. Transitioned all Trades from the Indata System into Oasys and NYFIX.

continued...

GEORGE G. BALM JR. . Page 2 . *******@***.***

GOLDEN TREE ASSET MANAGEMENT, New York, New York . 2004-2005

A $7B Hedge Fund.

Associate

Performed all Prime Brokerage issue investigations on a daily basis.

Conducted day-to-day cash reconciliations of 27 accounts. Held

accountability for Prime Brokerage accounts' weekly position

reconciliations, as well as for 5 custodian accounts. Acquired trade

confirmations and affirmed trades with DTC through the use of an Omego post-

trade processing solution. Analyzed and sent Charles River trades to

Accounting for Oasys processing. Set up new issuers and securities into

Charles River and VPM. Interfaced with prime brokers and custodians

concerning daily trade activity and issue resolution. Supported Manager's

projects, and assisted with operational supervision as needed. Spearheaded

the entry and confirmation of Foreign Exchange spots and forwards.

Participated in Charles River compliance.

Major Achievements:

. Drove systems testing to guarantee accuracy, and collaborated with a

programmer on issues related to Charles River compliance.

. Delivered appropriate staffing and seamless operations when acting as

Operations Manager.

. Successfully interacted with the Trading Desk daily, rapidly resolving

industry issues.

ARK ASSET MANAGEMENT, New York, New York . 2003-2004

An investment advisory.

Senior Operations Analyst

Reviewed the previous day's equity trades, transmitting them to the proper

custodians for timely settlement. Transferred Fixed Income and Equity

trades from APS Systems to PACE/ STAR on a daily basis. Addressed Equity

and Fixed Income settlement issues through confirmations and cancel

rebills. Performed monthly Ark and Custodians Fixed Income, Balanced and

Equity account reconciliations. Ensured all confirmations were booked

through DTC by brokers. Developed Portfolio Manager daily reports.

Transferred current day trades to brokers through Oasys. Opened new and

closed existing accounts. Provided support to the Operation Manager

regarding requests and projects.

Major Achievements:

. Expertly performed daily contribution and withdrawal postings to Fixed

Income and Equity accounts, securing numbers from portfolio managers

and ensuring proper systems entry, as well as operations vs. custodian

cash accuracy.

. Boosted DTC trade date efficiency 20% for Fixed Income and Equity

trades by ensuring Oasys utilization comprehension, and expediting

executed trades.

. Served as the Team Lead for a 5-member group, employing leadership

skills and experience, assisting team members in aged work

responsibilities, and supporting the Manager on staff and internal

issues.

BANK JULIUS BAER, New York, New York . 1997-2003

A private bank headquartered in Switzerland.

Assistant Treasurer

Conducted Portfolio Managers' daily cash management and fund functions.

Handled and resolved all Equity and Fixed Income settlement disputes with

brokers and custodians. Held responsibility for daily pricing, performance

and corporate actions related to 4 SEC registered funds, a closed end fund,

2 open end funds and 1 offshore fund

continued...

GEORGE G. BALM JR. . Page 3 . *******@***.***

BANK JULIUS BAER (continued)

Updated funds' fact sheets, returns, graphs and net asset values, as well

as the company website. Developed fund activity quality control reports for

management on a monthly basis. Held accountability for subscription /

redemption orders from Private Banking, as well as funds money monitoring

received through supermarkets such as Charles Schwab, Fidelity Investments

and the Transfer Agent. Updated Board Book materials that included Schedule

A, 144A and NSAR. Exhibited in-depth knowledge in the Securities Act of

1940 and semi-annual and annual reporting, as well as prospectus

development. Secured Anti Money Laundering, Bank Secrecy Act and customer

relations expertise and experience. Managed 2 Mutual Funds administrators.

Major Achievements:

. Acquired Series 7 and Series 63 licenses.

. Promoted to Assistant Treasurer

. Implemented and tested the functionality of the new Globus system in

collaboration with the IT department and an internal team.

EDUCATION

Bachelor of Science in Finance

St. John's University, Jamaica, New York

PROFESSIONAL DEVELOPMENT

CIPM Program - CFA Institute

Series 7 & 63 Licenses

Mutual Funds Regulation Seminar - Glasser Stegal Legal Works

Global Securities Services - Clearance, Settlement, Custody - New York

Institute of Finance

TECHNICAL COMPETENCIES

Operating Systems: Windows 95, 98, 2000, XP and Windows NT

Microsoft Office: Access . Excel . PowerPoint . Word . Outlook

Financial Software: Indata . Charles River . Omgeo Oasys . ALERT . VPM .

Bloomberg . Reuters

NYFIX . Portia . AS 400 . Midas . Eagle Pace . STAR . Trade Suite . Lotus

Notes

Prime Brokerage . Custodian Websites

Products Settlements Experience: Mutual Funds . High Yield Bonds .

Corporate Bonds

Muni Bonds . TBA's . Domestic and International Equities . Treasuries .

Options . Foreign Exchange

Mortgage Backed Securities

Contact this candidate