Manager Customer Service
Resume:
LAUREN I. CLECKLEY
** ******** **. ******, ** ***48
*******@*******.***
SUMMARY: Financial Services Professional with fourteen years management
experience within global financial institutions. Solid knowledge
of mutual fund compliance, internal control design, risk
assessment and project management. Effective leader with proven
success working in both individual and team environments.
PROFESSIONAL EXPERIENCE:
JP MORGAN, Boston, MA 1999
Present
Vice President - Operations Control Management (January 2011 -
Present)
Assistant Vice President - Operations Control Management (Sep. 2006 -
December 2010)
. Partner with business units to design internal controls which
meet attestation requirements. (Areas of focus include mutual
fund administration, accounting, tax and transfer agency
operations).
. Support internal control monitoring program, which includes
testing business unit's adherence to defined controls and
implementing remediating controls.
. Complete semi-annual risk self-assessments with executive
management and recommend action plans to remediate identified
control gaps.
. Facilitate internal control meetings to ensure timely and
consistent communication of risk and control data to
respective mutual Fund Administration operations groups.
. Provide semi-annual Risk and Control training to staff and
management within Boston Fund Services. Training ensures
consistent local knowledge, which supports internal control
environment.
Assistant Vice President - Fund Administration (Aug. 2005 - Sep.
2006)
. Managed mutual fund administration team and supported
comprehensive compliance reporting on investment restrictions
detailed in Prospectus, Statement of Additional Information,
Investment Company Act of 1940 and Internal Revenue Code.
. Coordinated and monitored fund administration group
activities and facilitated preparation of monthly client
management reports and quarterly board reports, including
portfolio holdings reports, compliance summaries and broker
commissions reports.
. Served as primary contact for client inquiries/projects and
efficiently provided detailed, time critical and accurate
data to meet client needs.
. Coordinated cyclical fund audits and addressed internal bank
and external auditor inquiries related to compliance and
reporting matters.
. Teamed with legal counsel to facilitate the completion of
annual Prospectus and Statement of Additional Information
updates.
. Provided job coaching and qualitative feedback to supervisors
and staff, completed bi-annual written performance reviews,
and assisted staff in ongoing learning and career
development.
. Developed departmental procedures and provided training and
guidance to supervisors and staff for accurate and timely
resolution of complex compliance issues.
Assistant Treasurer - Fund Administration (Mar. 2004 - Aug. 2005)
Fund Administration & Compliance Supervisor (Jan. 2002 - Mar. 2004)
. Monitored mutual fund portfolios to ensure compliance with
SEC, IRS, and industry standards; relative to 1940 Act and
respective fund prospectus investment requirements.
. Performed quantitative analyses and prepared cyclical
reporting data for mutual fund investment advisor including:
calculation of monthly dividend distributions, portfolio
turnover, fund performance statistics, quarterly IRS
diversification testing and preparation of portfolio holding
summaries.
. Compiled trade and compliance summary data utilized in
quarterly reporting to board of directors
. Monitored daily mutual fund share repurchase activity and
managed monthly share retirement process for closed end multi-
fund portfolio.
. Managed fund administration staff to ensure timely, accurate
completion of cyclical fund compliance deliverables; and
provided procedural training to staff and supervisors.
. Reviewed and ensured integrity of compliance deliverables
prepared by fund administration staff prior to submission to
investment advisor, external vendors, and internal bank
departments.
LAUREN CLECKLEY Pg. 2
JP Morgan, cont. Boston, MA
Mutual Fund Administrator (Dec. 1999 - Dec. 2001)
. Prepared daily and cyclical compliance deliverables for
supervisory review; including: written compliance
communication documents, fund expense payments, holding
summary reports, and expense cap analyses.
. Completed daily compliance reviews of client portfolios and
prepared written notification of fund compliance status,
relative to 1940 Act & prospectus limitations, for use by
investment advisor.
. Performed fund expense analyses to ensure the accuracy of
liability/expense accounts & daily accruals.
BROWN BROTHERS HARRIMAN & CO., Boston, MA
June 1998 - Nov 1999 Account Manager
Senior Custody Client Account Manager
. Communicated daily with client traders and provided high
quality, accurate and time critical information regarding
available cash balances, trade settlement status, and
facilitated foreign and domestic trade settlements.
. Worked with custody team manager as cash comptroller to
oversee accurate reconciliation of cumulative cash balances
for three respective multi-fund client portfolios.
. Monitored client initiated trade activity and coordinated
with internal bank departments and global sub-custodial banks
to ensure timely and accurate trade processing and
settlement.
. Facilitated daily cash management/reconciliation of mutual
funds within client portfolio.
. Initiated outgoing wire payments and trade settlement related
foreign exchange transactions; ensured settlement of daily
repo transactions to ensure positive cash availability in
respective mutual funds.
. Promoted from Custody Client Account Manager.
INVESTORS BANK & TRUST CO., Boston, MA
June 1997 - June 1998
Mutual Fund Custody Accountant
. Performed mutual fund accounting for municipal bond
portfolios
. Calculated fund net asset values for daily publication
OSCO DRUG, Saugus, MA Sept.
1996 - May 1997
Assistant Manager
. Provided effective retail store management. Ensured
effective customer service to diverse local population at a
high volume North Shore Boston suburban location.
EDUCATION:
MBA, Boston University School of Management
May 2005
BS/BA, Boston University School of Management
May 1996
VOLUNTEER EXPERIENCE:
Volunteer Leadership Lead: JPMorgan Chase
January 2010 - Present
. Plan and organize JPMorgan Boston Fund Services' Volunteering
initiatives. Participate in ongoing volunteerism at local
Boston non-profit organizations including Rosie's Place, Pine
Street Inn, Greater Boston Food Bank and United Way.
Finance Committee Participant: YWCA Cambridge, MA
October 2010 - Present
. New participant on committee. Partner with existing members
around YWCA's general financial agenda.
Independent Math Tutor
1988-1996
. Provided free tutorial to elementary through high school
students in various areas of mathematics (elementary,
algebra, geometry).
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