Manager Marketing

KELLY L. MONTGOMERY

*** ***** ******, ********* **, New York, New York 10038 541-***-****

*****.*.**********@*****.***

WORK EXPERIENCE

Various Consulting Positions, New York, NY

**/**** - ***sent

o Drafted four new business plans and investor fact sheets for a small

ecommerce company.

o Created and edited multiple press releases for a PR firm and private

equity firm.

o Prepared SEC filings for submission on the EDGAR system, utilizing HTML

programming.

o Reviewed and edited contracts for small business owners and individuals.

Omega Global Enterprises, New York, NY

05/2011 - 08/2012

Consultant

o Reviewed all important legal correspondence and briefed the Managing

Partner on critical deal points, recommending what should be brought to

the attention of legal counsel.

o Extensively utilized EDGAR, Westlaw, Hoover's, Bloomberg, etc., in day-to-

day research projects.

o Assumed responsibility for due diligence on fiduciaries involved in

transactions.

o Assisted with the successful completion of a $2.5M reverse merger,

primarily focusing on research into the shell company's history to ensure

integrity of the transaction.

o Reported directly to the Managing Partner on three different investment

projects resulting in the placement of $10M.

o Initially accepted as a summer intern then transitioned to a full time

role for the school year and following summer.

Northwest Plan Services/Investment Consulting, Seattle, WA

02/2007 - 07/2009

Plan Analyst/Retirement Plan Consultant

o Worked extensively with outside counsel, plan trustees, and auditors to

develop tailored defined-contribution plan provisions maximizing benefits

to clients.

o Provided investment advisory services for participating plans entailing:

. Mutual fund and stable value fund investment option review and

research.

. Investment education and enrollment presentations for plan

participants.

. In-depth quarterly performance reporting for clients and plan trustees.

o Ensured compliance with current regulatory requirements (ERISA, 1940

Acts), anticipated impact of proposed regulatory changes.

o Produced quarterly financial reporting, IRS filings, and annual reports.

o Modeled loans for plan participants, drafted documents in accordance with

Reg Z.

o Diligently monitored plans involving company stock to comply with SEC

requirements.

o Reviewed mutual fund prospectuses to ensure alignment with stated plan

investment strategy, contacted mutual fund representatives for any

warranted clarification.

o Offered guidance to plan sponsors on the architecture and daily

maintenance of their plan.

o Developed 401(k) retirement planning education and enrollment

presentations for plan participants.

o Reconciled trust assets, recordkeeping, and trade information on a daily

basis.

o Successfully completed the RPF-1 and RPF-2 exams offered by the American

Society of Pension Professionals & Actuaries (ASSPA).

o Assisted Principals in the RFP process.

Citigroup Smith Barney, Bellevue, WA

09/2005 - 10/2006

Financial Advisor Intern/Registered Associate

o Began as an intern, offered full time position upon completion of degree.

o Researched investment vehicles and monitored client portfolios.

o Developed and executed creative marketing campaigns targeting existing

client base.

D.A. Davidson & Co., Great Falls, MT

Summer 2005

Financial Consulting Intern

o Successfully passed the Series 7 and 66 exams, tutored fellow interns on

derivatives section.

o Shadowed high profile analysts working on the Volcam IPO during vacation.

MENG Analysis, Seattle, WA

09/2004 - 05/2005

Research Intern

o Developed system to assist marketing team by tracking municipal bond

offerings to identify prospects.

o Cleaned up and maintained data management process using Access and Excel.

Sander Capital Advisors, Seattle WA

09/2003 - 05/2004

Investment Research Intern

o Constructed industry models identifying potential deep-value buys for

portfolio manager, compiled stock research, and managed client database

and performance reports.

o Maintained relationship with Robert Sander, Owner and Portfolio Manager,

long after employment and provided ad-hoc assistance.

EDUCATION

Fordham University School of Law, New York, NY

Activities: Environmental Law Review Staff Editor, Student Advisor, Ireland

Study Abroad.

Coursework: Corporate Law Focus, Mergers and Acquisitions, Securitization,

SEC Regulation.

Seattle University, Seattle, WA

Bachelor of Arts in Business Administration (Finance), 2005

Honors: Cum Laude, Maguire Scholarship for Business Students, Accelerated

Graduation.

Activities: Varsity Crew, Golf Club, Investment Practicum.

SKILLS

Excel (large data manipulation, lookups, pivot tables, basic macros), Word,

PowerPoint, Access, strong financial product knowledge, extensive public

speaking experience, financial statement creation (balance sheet, income

statement, cash flows), legal research (LexisNexis, Westlaw, Bloomberg,

etc.), document review, HTML, XML, XPP, Edgarizing, SEC filings (10-K, 10-

Q, 8-K, etc.), securities regulations ('33 Act, '34 Act, '40 Acts), Dodd-

Frank, Reg A and Reg D exemptions, advanced Adobe Photoshop, ERISA

knowledge, quick to learn new/proprietary software, professional demeanor

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