Management Manager

Curriculum Vitae

Brian Roloff

* ***** **** *****, ***** Waldingfield, Sudbury, Suffolk, CO100XU

Mobile: Tel 078**-******

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

PROFILE

EXPERTISE

1. Asset Management- Back office and Operations Process

2. Project Management-System Testing, Six Sigma, Lean,

3. Treasury Operations -FX, Money Market, Reconciliation, Payments

4. Derivative - Collateral Management, OTC, ETD, ISDA,CSA

5. Outsource Management- Custodian Management, Transitions, SLA's

6. Team Management- Managing small and large teams

Team Building- Staff Retention, Customer Service, Motivation, Training,

8. Process Development - Procedures, Re-Engineering, Operational Risk

9. Fund Control - Creation and Liquidation, Valuations Reporting.

10. Cash Management- Cash forecasting, Liquidity Management Development

ACHIEVEMENTS

Aviva-Successful migration of Companies Funds onto new Aladdin platform and

set up new area in Investment Operations.

HSBC -Established three new teams, managing three major outsourced clients

but all, using separate accounting systems, separate processes and new

staff.

Royal London- Designed a cash pooling service that estimated would have

earned 750k of extra revenue for the RLAM group of funds. Due to back

office bring outsourced all projects was cancelled just as project was due

to start.

Royal London- Project Manager of the Banking transition of 24billion of

assets from JP Morgan to HSBC as part of the outsourcing contract to HSBC,

including the negotiation of the Liquidity Agreement for of all the Royal

London accounts, over a 12 month period.

Cogent- Successfully managed 300 client transitions, co-ordinated a system

migration for1200funds (2 yr period). Managed transfer of assets for 370

clients between custodian

Henderson's- Successfully managed the Banking Department section of the

EURO and Y2K projects, with no delays or errors.

Henderson's- Built up area and maintained high level of service in a period

of huge growth

CAREER HISTORY

Oct 13 - Dec 13 Fund Reporting Analyst

Friends Life

Life Company -Contract

. Collate and report performance data to produce fund fact sheets,

investment bulletins and other ad hoc reports for distribution

across markets to a range of recipients including trustees,

regulatory bodies and external and internal customers.

. Responsible for first line technical checking and annual fact sheet

review against fund data available to ensure integrity, compliance

and accuracy

. Performance and fund data is updated to ensure all data pertaining

to fund launch, closure and fund events is updated on all intranet

& internet sites.

. Produces bespoke and ad-hoc fund reports and client reporting for

key accounts upon request and in line with account management

plans.

. Liaison with data team to resolve data discrepancies, ensuring

issues highlighted are investigated and managed through to

resolution

Sept 12 - Sept 13 Investment Operations Analyst Aviva

Investors

Asset Management - Contract

To support the Front Office in the execution of their core activities

ensuring the provision of accurate, timely and comprehensive information

and problem solving

To assist with development of the Middle office operations functions to

provide wide ranging service.

Assistant in the project to migrate all of Aviva funds onto the Aladdin

system to enable Fund Managers the capabilities for accurate cash

management.

To build and maintain close working relationship with the front office and

act as the day to day point on contact for queries.

To provide a comprehensive system based service to Front Office - This

includes timely and accurate provision of fund and transaction information.

To regularly review and update team procedures ensuring all team tasks are

accurately documented.

March 12 - Sept 12 Project and Business Studies At Home

- SkillSoft

Training

Operational Management.

Complete

Fundamentals of Lean Business Organisations. Complete

Managing customer Driven Process Improvements Complete

Six Sigma Fundamentals (Yellow Belt)

Complete.

Six Sigma Green Belt.

In progress

June 12 - Feb 12 Senior Derivatives Analyst

HSBC

Investment Operations (HSS) - Redundancy

Monitoring of clientsfull Collateral Management process.

Settlement of OTC products and life cycle events

Set up and controlled all of the clients ISDA CSA

Daily control of all Exchange Traded positions and the management of all

margin movements.

Responsible for cash and stock collateral and settlement of monthly

interest.

Project, client transitions, KPI and management information.

May 07-June10 Fund Control Manager HSBC

Investment Operations (HSS) 6 Staff

Daily management of 3 main outsourced clients, banking needs for cash

management, reporting, payments, reconciliation and creation and

liquidations.

Staff retention and development

Established a control process to ensure Fund Managers and Funds data were

accurate and timely available.

Development and maintenance of relationships with clients, counterparties

sand middle office services.

Identified and addressing operational risk issues.

Responsible for the migration of work to other parts of the business over a

18 month period.

July 06- May 07 Treasury Manager HSBC

Investment Operations (HSS) 5 Staff

Responsible for same staff and processes in Royal London as part of

migration.

As part of migration project -defined areas or work to be split into other

parts of the HSBC structure.

Trained other teams and migrated work into HSBC strategic model.

June 03 -July 06 Treasury Manager Royal London Asset Mam

Asset Management 8 Staff

Outsourced to HSBC

Managed three teams, bank reconciliation, RLAM Cash Management and Third

party Cash Management - RLCM

The development of internal procedure and polices and regular review with

compliance and auditors.

Responsible for payments, currency liquidity, reporting, statistics, MI,

client reporting, and custodian Management.

Ensuring that all staff were crossed trained, conducting appraisals and

setting measurable objectives.

Developed the team, changing from a reactionary to a proactive department

thereby reducing risk and errors.

Increased number of funds in area by over 60%, increased number of bank

accounts by 70%, reduced cash exceptions by over 90% and through this

reduced head count in area by 30%.

Nov 02-May 03 Prime Appointments Prime Appointments

Temporary Assignments

Worked in a number of temporary roles in local area.

Dec 00 - Oct02 Head of Banking Transitions Cogent

Investments Ops

Investment Operations - Redundancy

Responsibility split between projects and Banking Transitions.

Main objective of the Transitions role was to continually develop and

enhances a robust and timely cash transition process and also support other

operational teams by ensuring that all required processes were performed

prior to the take on the new clients

Managed to improve communication between client services, custodian,

customer's management team, whist also development good relationships with

key clients.

New process testing for other parts of the Business area.

Process review and identifying and addressing operational risk.

March 93- Dec 00 Manager of Banking Dept Henderson

Investors

(Branded as Cogent April 99) 41 Staff

Managed 6 Teams.

Institutional Banking, Project Team, AMP bank Recs, AMP Cash Management and

Treasury support Team.

Dealt with all recruitment, staff evaluation, and disciplinary actions. .

Responsible for checking and releasing payments.

Monthly Management Reporting,, Team budgets and Statistics.

Project work.

March 97- Dec 98 Manger of Banking Henderson

Investors

Investment Operations 20 Staff

Henderson merged with AMP June 98

Managed 3 Teams

Retail banking. - Private Clients, PEPS and 3rd Party Business

Institutional Banking- Investment Trusts and 3RD party Clients

Treasury Support-Foreign Exchange and Money Markets and Payments

Mar 93- Dec 97 Banking Team Leader Henderson Investors

Investment Operations 9 Staff

Responsible for Bank Reconciliations-3rd party clients, Retail, Investment

Trust.

Treasury Support - Foreign Exchange and Money Markets

Payments for all Companies Funds

Nov 89 - Mar 93 Banking Team Leaders Touche

Remnant & Co

Asset Management 4 Staff

Merged with Henderson March 93

. Controlling the liquidity of all Companies Funds.

. Responsible for all funds FX and money markets transactions.

. Responsible all bank reconciliation.

. Involved in project work, system design, testing and

implementation.

April 88 - Oct 89 Travelled Around the world

. Worked in America Teaching Golf in Children summer camp.

. Worked in Australia in Textile Industry

June 83 - April 88 Various The

First National Bank of Chicago

Banking

. Money Market marketing.

. Payments Information and Product development

. Foreign Exchange Settlements.

May 82 - June 83 FX Settlement Clerk Wells Fargo Bank

Banking

. All aspects of Foreign exchange settlements for bank

Feb 81 -May 82 Foreign Exchange Settlements Clerk

AMRO Bank

Banking

. All aspects of Foreign exchange settlements for bank

Sept 79 - Feb 81 Dealing Desk Assistant Marshalls

Money Brokers

. Liaison between dealers and bank office

Aug 77 - Sept 79 Insurance Broker

CT Bowring

Insurance

. Marine Insurance broker at Lloyds.

Technology

Accounting Systems- ICON, Quasar, Paladign, Hi Portfolio, IMS

Banking Systems - JP Morgan, State Street, Citibank, Lloyds. HSBC, BOS

Derivatives-ALGO, NCOMS, Summit, Calypso, IceLink, MarketWire, DTCC,

TriResolve

Reconciliation Systems - CARS,TLM, Smart Stream

Other Systems - Blackrock Aladdin, Concord, SWIFT, All Microsoft products

EDUCATION

1970-1977- Mayflower School

4 O level passes

Mathematics, English, European Studies and Geography

English

PERSONAL

Status: Married

Nationality: British

DOB: 04 October 1960.

Versatile Investment Operations Analyst with a wealth of technical and

commercial skills across a wide range of demanding roles, over 23 years'

experience within Banking and Asset Management. Now seeking next

challenging and rewarding opportunity to demonstrate substantial abilities

and make an effective contribution in a successful focused team.

Contact this candidate