VINCENZO FALBO

** ********** ********, ****** ** 1NE

Mobile: +44 (0-738*-******, Email: ac5f5y@r.postjobfree.com,

LinkedIn: https://uk.linkedin.com/in/vincenzo.falbo22b9595

An executive with extensive leadership experience in wealth and asset management, retail, brokerage and investment banking. Commercial management experience includes Europe and U.S. as well as developing markets of Latin America and Middle East. Outstanding achievements in leading multinational teams and enterprises in the development and execution of compelling go-to-market strategies, delivering superior customer experience, sales performance and operational execution, creating significant revenue growth, and shareholder value. Extensive relationship experience with Regulators, Third Party service providers, Financial Institutions and Sovereign Wealth Funds.

2011 – Date VEGA CONSULTING

2007 – 2009 Principal, Financial Services consulting in areas of Commercial Development for Investment Banking, Asset and

Wealth Management, Private Equity, Business Operations, Product Design, Strategy, Marketing and Sales

Designed a Luxembourg SARL for Resource Venture Capital Partners to fund its Mining and Minerals corporate ventures on the African continent. Company listed on the LSX.

Advised Waterberg Coal Company and Sekoko Coal on their Capital Advisory and M&A transaction via an SPV and Reverse Takeover to create one of South Africa’s largest Mining and Energy entities. Worked with Standard Bank to List Shares on the JSA.

Designed commercial development activities via the Equity, Debt and Private Capital Markets for WCC raising $50 million in working Capital. Activities through Sovereign Wealth Funds, Family Offices, Pension Fund and Private Equity funds.

Led Private Equity purchase of Italian food importer in the U.K. use of Convertible Debt financing.

Created an off-shore LLP Pre-RTO investment vehicle for an SGX listed Asian Real Estate Developer. Raised $60 million seed capital via ECM and PE network.

Prepared Capital Injection DD package for Italian Real Estate Developer, acquiring a Real Estate Fund for Euro 30 Million. Tender book reviewed by multiple bidders, final winner a Chinese Fund. Investment via a Convertible Note with and Equity Kicker.

Over the past 4 years have co managed an SME food importer and distributor as a turnaround project. Company was sold. This whilst carrying out activities pointed out above.

Reviewed organizational, distribution and risk management structures of a $4.0 bn U.S. asset manager addressing ownership succession, employee ownership, functional organizational management, sales and marketing in New York, London, Paris and Frankfurt.

Developed a sound and compelling go to market commercial development strategy, based upon new product development and a B2B marketing approach, Client onboarding and relationship retention process for a London based asset manager in the synthetic CDO and ABS space, securing of a new strategic corporate partner.

Created a UCITS III mutual fund to house treasury portfolio securities for a major financial institution in Italy and France, allowing Treasury to resolve liquidity issues whilst maintaining dividend income.

2009-2011 CALAMOS INVESTMENTS

Senior Vice President, Head of International Business – London/Chicago

Created the new division with the goal of contributing to 20% of the Assets Under Management and Revenues

within 5 years in this $30 billion company with a team of 5 people.

Developed and executed international business growth strategy and led a detailed tactical commercial

and asset projections plan comprising of staffing and resource needs as well as sales for superior customer experience.

Successfully rationalized product offering of UCITS III OEIC’s and developed new products strategy for

family offices and affluent investors.

Created a U.S. Non-Resident Alien and Latin American commercial model, developed strategic partnerships with

biggest wealth managers globally and strategic alliances in Europe, EMEA region.

Created a U.K. based company approved, registered and supervised by the Financial Conducts Authority.

Maintaining relationships with regulators, service providers and executive level clients.

VINCENZO FALBO

2001-2007 EATON VANCE MANAGEMENT (International) Ltd

International Division US Asset and Wealth Management Group – London

Managing Director

Created the vision and value proposition leading the development of a compelling go-to-market strategy for the new

division with full P&L responsibility. Established international leadership commercial organization. Responsible for all

sales and aspects of the customer experience growing annual sales to $2.4 billion, assets of $6 billion and revenues

of $30 million with over 300 relationships in 30 countries.

Created a UK based A.M. company approved, registered and supervised by the FCA.

Maintained relationships with regulators and government agencies in all markets covered.

Hired and trained multinationals to match EMEA, Latin American and Asian markets.

Registered company in all EU member states as an authorised Investment Manager and funds promoter under the European Union Financial Services Directive and MIFiD.

Member of and managed the Boards of Directors of all international operating companies and funds.

Won 3 investment advisory mandates for $350m in Switzerland, Lichtenstein, Denmark. Managed development of over 300 wealth managers and family office client relationships in 30 countries with $6.0 billion of assets.

Rationalised a $500m Cayman Island Fund Family eliminating duplicate funds and saving $400k p.a. in fund operating expenses.

Created and managed Irish domiciled multi asset class, multi-currency UCITSIII Fund Family consisting of 5 mutual funds with combined assets of $2.5bn.

Increased sales from $75m to $2.4bn pa, assets under management from $250m to $6bn, achieving $50m pa revenues.

1983-2001CITIGROUP – Global Financial Services Group

VP – Commercial Director/ Global Sales Strategist – Citi Group Asset Management, London

Created a global sales and distribution structure and strategies for the promotion of products and services primarily to

all Citigroup entities of Private, Affluent and Retail Bank globally. Designed implementation strategies and market entry

tactics. Defined and implemented standards and processes ensuring customer service levels and KPI’s were maintained.

VP – Director of Wealth Management, Insurance and Distribution – Citibank, Belgium

(Affluent and Retail Banking in Benelux and France)

Member of Country Senior Management Team. Developed an integrated investments and wealth management business.

Created in house Asset Management capabilities. Led a Benelux based team to drive Citibank's retail investment and wealth management business in Benelux and France. Achieving $400 million in sales, $1.2 billion in proprietary assets and $35 million in Revenues.

VP – Investment Sales Director – Citicorp Investment Services, New York (Affluent Banking)

Developed the value proposition and vision leading to a successful go to market business strategy. Responsible for all

sales aspects and customer experience Created a multicultural team of FINRA licensed wealth managers generating $450

million in sales, $2.5 billion in assets and $3 million in revenues annually.

AVP – Head of Distribution and Credit – International Personal Banking – Citibank, New York

Expanded personal banking for Non-Resident Aliens and Non-Resident Indians – 165 staff in 5 US locations.

QUALIFICATIONS: MBA. Rensselaer Polytechnic Institute - Troy, N.Y.

BA. Siena College - Loudonville, N.Y.

FINRA: Previously Series 24 Sales Principal and Series 7, 63 Registered Representative.

FSA: All Investment Management Controlled Functions CF1 to CF30.

UKSIP: Investment Management Certificate (IMC).

S&II/ESA: Islamic Finance Qualification (IFQ).

MEMBERSHIPS: Investment Management Institute.

Securities & Investment Institute.

Investment Management Association.

LANGUAGES: English, Italian and Spanish fluent. French very good.

PERSONAL: Italian/American. Married – 2 children.

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