Manager Vice President

Paul Buzzell

** ****** **** . **** *******, MASSACHUSETTS 02718

PHONE 508-***-**** . E-MAIL **********@*******.***

FINANCIAL COMPLIANCE / AUDITING / RISK MANAGEMENT

Profile: Highly respected Manager of Compliance in the Investment & Financial Service

sector is eager to contribute his 15+ years' success, areas of knowledge of Mutual Funds,

Distribution Tax Reporting, Governmental regulatory agencies, Statutes, Control processes,

Accounting, Pricing and Competencies:

Risk Management Auditing/Accounting

SEC Regulatory Compliance

Financial Analysis Tax Reporting

Legal Interpretation

Shareholder Communications Management/Leadership Subject

Matter Expert

Project Management Controls

Training & Supervising

Highlighted Accomplishments

Generated a 7 - 10 % an asset increase for the firm as a result of reviewing, comparing,

and rigorously analyzing the company's existing Lost Shareholder Service provider with 5

other competitors' Services. Identified and secured a new provider that improved the

firm's ability by 110% to find 'lost shareholders'.

Managed 4 departments comprising up to 35 analysts, control, compliance, reporting

professionals, as well as managers overseeing timely, accurate reporting processes

complying with Corporate mandates and State and Federal regulations. Achieved maximum

results by recognizing individual strengths of each employee.

Liaised and consulted with corporate and governmental Legal experts, regulatory

Governmental specialists to clarify current information and acquire deeper insight

essential to assuring Putnam's departmental matters were aligned with all requisites.

Contributed industry knowledge to the developing 'processing world'

Led and improved the automation of several of Putnam's corporate control systems,

processes and procedures, thereby reducing processing time by up to 25% and redundancies

by 50%

Professional experience

DUNKIN DONUTS

2010 -

District Manager - Franchisee Owned Operations

Directed 6 Dunkin Donuts Stores for a franchisee owned operation. Included managing 6

stores managers and 3 assistant managers and 55 crew members on the day to operations

Reviewed daily sales reports, trend reports and inventory to properly forecast all of the

daily needs for each store

Compiled weekly reports including sales, inventory, fees, general manager, payroll and

schedules ensuring proper management including profit and loss each week

Developed monthly reporting that determine staff accuracy and knowledge of Dunkin Brands

standards including monthly ROR reporting

PUTNAM INVESTMENTS

2001 - 2009

Vice President - Compliance Manager

Managed 4 compliance analysts/specialists concentrating on various compliance related

functions and responsibilities. Monitored compliance to State regulated Blue Sky laws for

selling of its mutual funds

Reviewed daily Lost Shareholders in compliance with SEC Rule 17Ad-17 - Search for Lost

Security holders, maintained record of all searches conducted.

Paul Buzzell

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Completed all Escheatment activity report on a timely basis every 2 years in complete

observance with all State regulated rules and laws for proper reporting and remittance of

all lost property according to State statutes. Achieved 25-29% success rate in finding

lost shareholders, thus retaining shareholders.

Received and complied with all IRS and State Regulatory agency levy and liens against

shareholder's property; took appropriate action as necessary to comply.

Accepted and furnished all requested materials as directed in subpoenas received for

information and materials needed for shareholder inquiries

Assisted the core processing world in their interpretation of the legal rules and

requirements regarding processing on all mutual fund accounts as the Putnam Investments'

resident subject matter expert

Undertook all necessary actions to complete all Regulatory Agency requests received,

ensured complete anonymity for shareholder and represented Putnam in complete honor and

professionalism

PUTNAM INVESTMENTS

Vice President - Control Senior Manager

2000 - 2001

Managed 4 departments, including 3 managers, 3 supervisors, and a staff of 25.

Shareholder Tax Reporting and Compliance (STR&C) area is responsible for all shareholder

tax reporting, which can include both paper reports and electronic web reporting for over

two million forms, including 1099 DIV, 5498, 1099R, 1099B, Cost Basis, Tax Savings and Tax

Summary

Distribution Tax Reporting Services (DTRS) area is responsible for all participant tax

reporting, which includes both paper reporting and electronic WEB reporting for over three

hundred thousand forms, including 1099R, 1099Div and 1099B.

Closed End Fund Registrar area is responsible for the daily verification for sixteen

closed end funds totaling approximately over $4 billion in assets

Fund Administration and Proofs areas are responsible for the daily verification for

Putnam's open-end mutual funds and Variable Annuity Funds with assets totaling

approximately over $4 billion

Enhanced Putnam's aged check process through system automation process: Established new

download reporting team for all system/fund verification procedures. Implemented complete

procedure re-write for all areas. Automated entire balancing process for all control

related functions

Putnam Investments

Assistant Vice President - Control Senior Manager

1996 - 1999

Control Manager

1993 - 1996 Supervisor - various

Control Areas 1990 - 1993

Supervisor - Pricing Putnam Investments

1988 - 1990

State Street Bank &Trust

Fund Accountant Account Controller Mutual Fund Floater 1984 - 1988

Education

BSBA/Accounting, Stonehill College, North Easton, Massachusetts

Community activities

Taunton East Little League Baseball Coach, Taunton Youth Soccer Coach, Taunton

Junior Basketball Coach, Taunton Babe Ruth Baseball Manager, Taunton Youth

Basketball Coach, Taunton Youth Basketball Board Member, Holy Family CYO

Basketball Coach, Holy Family Parish Religious Education Teacher, Holy Family

Parish Eucharistic Minister

References Available upon request

Contact this candidate