Manager Management

Hazel Smith

Mutual Fund Analyst

P.O. Box *** - Salisbury, NC 28145

*****.*******@*****.*** - 704-***-****

To join a Company with a forward looking business attitude and perspective toward continuous improvement

of processes. A Company with a high performance culture that attracts and develops talented people; a

Company Who believes in rewarding based on merit and offers employees the opportunity to advance, through

mentorship, networking and training opportunities, so that employees may become future leaders within the

Organization.

WORK EXPERIENCE

Mutual Fund Analyst

TIAA-CREF - September 2007 to August 2012

Teachers Insurance and Annuity Association - College Retirement Equity Fund) - Shared Services Systems

Integrity

Charlotte, NC

The Fund Reconciliations & Process Controls team ensures that participant activities are processed accurately,

timely and properly reflected in the systems and records. The team was responsible for 28 Asset Accounts

and 129 Liability Accounts, 73 System Reconciliations along with system testing, monitoring key activities in

Omni and problem solving and defect analysis.

Daily duties were to Facilitate and verify the movement of cash (MOC) related to the previous day's trade

activities on 6 banking models (Trust, IRA, VUL IL, IVA, RHSP, ANWRAP and Non-Erisa TDA).

* Balanced /reconciled trade activity and related cash movement to expected cash movement per PeopleSoft.

* Reconciled all Proprietary and Non-Proprietary fund positions on the Omni Trade recordkeeping platform to

the various mutual fund companies/transfer agents. Ensure timely resolution of reconciling issues.

* Identified legitimate variances which may require trading (back-dated earnings, accruals) and coordinate the

resolution of erroneous variances with PVG/Operations (NAV corrections / Miscellaneous Debits & Credits).

* Demonstrated excellent time management and prioritization skills and adhere to procedural and regulatory

guidelines.

* Researched cash blotter discrepancies and book journal entries for TFE as needed, to clear items on bank's

books.

* Completed daily reconciliations comparing internal source data with Outgoing files for any financial

transactions impacting funds kept at State Street Bank (SSB).

Additional Projects:

* Invoiced, collected and reconciled service and 12b-1 fees due from fund companies.

* Reviewed and update fund and product data in Externalization tables.

* Reconciled shares for Asset Takeovers and Deconversions.

* Prepared journal entries for manual trades, test trades and redemptions.

* Managed relationships with STN Operations, J.P. Morgan and TIAA-CREF Trust Co., FSB.

* Write-Off monitoring to ensure compliance of our policies and guidelines so that we can continue to recover

lost funds, manage mitigate risk.

Financial Reporting Analyst

MELLON CORPORATION - New York, NY - September 2006 to August 2007

Financial Reporting Group - Investment Accounting & Support Dept.

Investment Accounting & Support maintains the financial records for 190+ Mutual Funds managed by Dreyfus

- a broad array of financial products including stock, bond, international and money market funds. The primary

function is the daily asset valuation of the funds; responsibilities also include regulatory reporting, tax reporting

and compliance.

* Prepared and assisted with the coordination of Shareholder financial reports, using semi-annual and annual

audit work papers.

* Prepared financial reports in excel, using various US GAAP trial balances, tax basis numbers and Roc Sop

entries, compiled of the fund's expenses, statement of assets and liabilities, statement of operations, changes

in net assets, financial highlights, notes, tax information, Auditor opinions, proxy, Board Members and Officers.

* Liaised with external Auditors in producing documentation for internal controls.

* Provided information for all NSAR filings, prospectus filings and soft dollar reporting.

* Performed fund's financial test for accuracy of calculations, including appreciation / depreciation,

undistributed investment income, accumulated net realized gain (loss) on investments, paid-in capital and

shares outstanding.

Fund Accountant

THE BANK OF NEW YORK - New York, NY - June 2004 to March 2006

Brooklyn, NY

- Unit Investment Trust

I oversaw all activities in assigned Fixed Income Trusts, including but not limited to Sales, Redemptions, Pricing

and Deposits according to trust indenture.

* Processed GNMA paydowns for Van Kampen trusts and update all activity with the evaluator (S&P).

* Verified N.A.V. for principal and income rate distributions, for Fixed Income Securities and Van Kampen

trusts.

* Reconciled income for trusts on semi-evaluations to insure all fees and expenses are accrued properly.

* Answered daily and monthly exception reports for management review, on assigned funds.

* Provided Van Kampen with daily GNMA accrued interest figures.

* Processed fund credit adds (FCA) on principal reinvestment cash from monthly paydowns, for Fixed Income

Securities.

* Processed trades on initial and subsequent GNMA purchases and confirm settlements on ASP system.

* Act as liaison between the executing brokers and Clients on failed trades

* Processed terminations on trusts with negative accruals and calculate final distribution rates.

* Established new accounts on Sesame & Core systems, including application for tax ID, establishing new

entities, Customer information (CID) files and account numbers

* Updated data on F.A.C.T.S. (Fund Accounting System) with any redemptions, calls or sales for corporate

or municipal bonds.

* Reconcile cash, unit and asset holdings with Dividend Control department for principal and/or income

distributions.

Performance Analyst

Pricing & Performance Group - Newport Beach, CA - March 2003 to June 2004

I provided clients with complex analysis of fund / account performance within AIMR guidelines.

* Created daily Outliers report for over 1,500 accounts, grouped by investment strategies (total return, high

yield, short term etc.), using 1.5

standard deviation methodology.

* Provided Portfolio Managers with detailed performance reconciliations between investment manager and

custodian banks, detailing 1mos, 3mos, 6mos,

9mos, YTD and annualized returns.

* Updated monthly returns in SMARTS system of over 20 Fund accounts, using

custodian bank's market value or (NAV) and dividend per share.

* Verified returns that are above the 20 basis points threshold, by comparing

net market values and net capital flows, using the Modern Dietz methodology of weighting capital flows and

re-evaluating the portfolios based on timing of the flows.

* Calculated correct performance for adjustments in the system, if incorrect

returns are attributed to cash flow timing and/or discrepancies, prior

postings, pricing corrections and/or interest accruals.

* Assisted in special attribution projects, providing detailed calculations of daily gain/loss.

* Coordinated new account set up with Account Transitions, in order to accurately start the performance clock.

Administrator

Separate Accounts - Newport Beach, CA - March 2002 to March 2003

I performed account analysis for 20 separate accounts

* Reconciled over 20 separate accounts on a monthly basis, with net assets totaling approximately $1 billion

(cash, par,

pricing, assets & accruals).

* Researched variances and corrected, as required by standards set in each

account.

* Performed preliminary account analysis between investment manager and the custodian banks, for large

discrepancies above 30 basis points, between short

term investment fund (STIF) amounts.

* Conducted daily verification of capital flows.

* Conducted ad hoc research and analysis, within established guidelines and

Procedures.

* Assisted with annual/semi-annual audits process.

* Maintained relationships with 4 custodian banks and transfer agents

(Mellon, The Bank of New York, State Street Kansas City, Northern Trust & Pacific Life).

Accounting Associate

BRANDES INVESTMENT PARTNERS, LP - San Diego, CA - December 2000 to March 2002

I interfaced with all departments within the Firm, including but not limited to The Executive Committee, Portfolio

Management, Client Services, RFP, Research,

Operations & Trading.

* Processed all expense reports, including Corporate and vendor invoices

* Processed weekly check requests.

* Posted month-end general ledger and inter-company entries in Great Plains.

* Assisted in annual audits process.

* Completed ad hoc projects, as assigned by the Assistant Controller.

Engagement Management Specialist

KPMG, LLP - New York, NY - October 1999 to October 2000

I was proactive in assisting with alternatives for reducing investments and attaining established chargeability

goals.

* Assisted Engagement Management Coordinators with daily duties of Client

Portfolio project management.

* Facilitated the billing and collection process on assigned accounts, in compliance with Engagement letters.

* Prepared Estimated Realization Percentage (ERP) spreadsheets on Client

* Performed Ad hoc drill down reporting, using Ephiphany project management system.

* Applied project payments and/or reimbursements to their designated lockbox.

Medical Receptionist

Accounts Payable Assoc - New York, NY - April 1997 to October 1999

Empire Stat Group

New York, NY

I provided financial and administrative support and reception duties for a privately owned company that

provided independent medical evaluations (IMEs).

* Received and verified invoices.

* Prepared batches of invoices for data entry and/or processing.

* Processed back-up reports

* Prepared vendor checks for mailing and logging all checks in log book.

* Maintaining accurate records of all accounts payable.

* Print and distribute monthly financial reports

* Receptionist duties in Doctor's office, including processing incoming patients with appointments, pulling

charts and making new charts for new intake patients.

EDUCATION

Bachelor of Arts in Criminology/Pre-Law

Indiana University of Pennsylvania

ADDITIONAL INFORMATION

SKILLS & PROFESSIONAL DEVELOPMENT:

Financial Data Warehouse (FDS), Kronos timekeeping system, SharePoint, Omni Plus & Omni Trade,

Mainframe, Advanced knowledge of MS Excel - Macros, VLOOKUP, Pivot Tables, Great Plains, Oracle

Siebel Financial Services 8.1, Sungard EXP AG, Business Objectives, Peregrine Systems, SMARTS version

3.7., F.A.C.T.S.(Fund Accounting System), ASP, PeopleSoft Oracle Financials 9.0(General Ledger, nVision

& Queries & BI Analytics) Bloomberg, Enterprise, Power Image SunGard EXP AG, Access Database &

knowledge of securities processing; familiar with automated accounting systems and spreadsheet applications

TEAMWORK / LEADERSHIP SKILLS

*Demonstrated strong interpersonal skills and solid understanding of accounting and financial principles.

*Took initiative on follow up and completing tasks without supervisory directives (this does not mean not

communicate with my manager).

* Self motivated; able to handle and prioritize multiple tasks, handled deadline pressure and exhibited a team

player attitude at all times.

* Demonstrated strong analytical skills and proficiency in reviewing financial data.

LEARNING & DEVELOPMENTAL TRAINING COURSES:

*Effective Listening Course

*Crucial Conversations Course

*Diversity & Inclusion Training

*The Seven Habits of Highly Effective People Course

*Anti-Money Laundering Training

*LEAN Enterprise Training (Mindsets & Behaviors, Problem Solving: Creating, Implementing & Maintaining

sustainable results)

Contact this candidate