Asset Management, Investment Services

Scott A. Englehart

**** ******** **** ******, ** 43065

*****@**********.*** 614-***-**** www.linkedin.com/in/senglehart

Executive Summary

Accomplished career managing and delivering back office investment services to a variety of asset managers, mutual fund complexes, insurance companies, banks and broker dealers. Excellent client facing skills founded on 25 + years of adapting to broad range of clients and their respective cultures, business models, product offerings and structures, distribution strategies, technologies, operating environments and governance models.

Expertise and Knowledge

Operations, Workflow and Controls/ Business Reengineering

Fund Accounting, Transfer Agent, Regulatory Administration

Custody, FX, Securities Lending, Blue Sky

Business Development/ Client and Board Relationship Management

Compliance, Governance and Risk

Professional Experience

Bank of New York Mellon, Columbus, OH - Managing Director, Relationship Executive 01/2014 –07/ 2016

Successfully managed a diverse group of domestic and foreign investment management clients and products, proactively built client relationships, and developed a deep understanding of client priorities and initiatives while coordinating and leading BNY Mellon service teams to ensure high service quality. Effectively enhanced client profitability, identified and expanded wallet share and distilled industry, product, market information and knowledge based upon client needs in support of their respective growth and initiatives.

Investment Management and Mutual Fund Consulting, Columbus, OH 11/2012 – 12/2013

Engaged and delivered best practice consulting services to former asset management and mutual fund clients focusing on reengineering advisor and fund operations, compliance and distribution mandates. Also engaged on contract basis with KPMG LLP Advisory Services and to deliver similar mandates to advisers and fund complexes.

Beacon Hill Fund Services, Inc., Columbus, OH - Founder and President 02/2008 - 10/2012

Conceived and implemented the business strategy and plan, defined the service offering, secured the financial backing and recruited professional talent to launch the firm in 2008. The firm delivered independent third-party professional services and consulting to the asset management industry specializing in a core suite of industry best practice driven services that included; Principal Underwriter and Distributor, Fund Chief Compliance Officer (CCO), Chief Financial Officer (CFO/PFO/Treasurer) and Regulatory Administration. Effectively managed sales, pricing, client relationships and day-to-day operations resulting in run rate annual revenue of $2.5M by mid- 2011. Sold my ownership interest in 2012. Also served as President and financial principal of the internal broker dealer.

Developed the concept and partnered with Northern Trust to create an exclusive series trust fund platform to attract domestic and foreign institutional asset managers. This vehicle was the growth engine for Beacon Hill and has attracted over $8B in AUM.

Nationwide Advisory Services (NAS), Columbus, OH - Vice President/ COO 03/2005 – 02/2008

Hired to reengineer Nationwide Advisory Services Program (ASP), Nationwide Financial’s only fee based investment business line offering turn-key mutual fund, variable annuity and separately managed account (SMA/UMA) wrap vehicles with over $600 million in AUM and over 3900 accounts that were distributed via a wholesale broker dealer distribution strategy to the third-party registered investment advisor market. Successfully reengineered and stabilized ASP while assessing the long-term viability of this line of business for NAS and led the eventual recommendation and successful sale of ASP in 2008.

Additional duties included participating as a member of Nationwide Financial’s senior team to rebrand the $30 billion Gartmore Mutual Fund family back to Nationwide Funds in 2007. Named to NAS’ Investment and Product Development Committees.

Integrated Fund Services, Inc. (IFS), Cincinnati, OH - President, 11/2000 – 03/2005

IFS, a division of Western and Southern Financial Group, provided services to asset managers and mutual funds that included fund accounting, legal administration, transfer agent, shareholder services, blue sky, financial reporting and medallion distribution. Led and recruited a team that successfully completed the turn around and reengineering of IFS from an unprofitable and unstable situation into a competitive, profitable and efficient service provider with improved infrastructure, management and technology. Improved from a loss of over $11 million in 2000 to a profitable run-rate at the end of 2003. Drove proactive sales efforts beginning in mid-2002 resulting in five new client relationships in 18 months that increased revenue by 33% and pushed AUA to over $10B which positioned IFS to be acquired by JPMorgan Chase in 2007. Managed fund accounting and financial reporting units for the first three years. Other responsibilities included:

Named to Western Southern’s annuity and insurance product development group focusing on distribution channels and identifying new investment strategies to employ as underlying investments for these products.

Nationwide Advisory Services (NAS), Columbus, OH - Director 02/1998 – 11/2000

Originally hired to lead aspects of Nationwide Advisory Services, (NAS), Nationwide Financial’s in-house servicing company responsible for supporting the over $30 billion Nationwide Mutual Fund complexes. Managed transfer agency and shareholder services, training, broker dealer operations and compliance, distribution and marketing. Initiated and led the reengineering of the entire transfer agent and shareholder servicing operations, enhanced technology, increased productivity, efficiencies and service levels while implementing industry standard business processes and controls resulting in expense reductions of 25%. Other responsibilities included:

Supported distribution of the Funds in various internal (Nationwide Insurance Agents, Nationwide Retirement Resource Agents, Variable Annuity, Variable Life, 401k and Pension products) and external distribution channels, (broker dealer, wrap programs, 401k TPA's and RIA's) and implemented pricing alternatives, and new products, President and principal of the broker dealer licensing over 5000 Nationwide agents.

In mid-1999 became responsible for the successful outsourcing all functions of Nationwide Advisory Services' to BISYS including designing and implementing an employee retention and ongoing communication plan. Successfully completed the transition of NAS and the Nationwide Funds in August of 2000

Led a Nationwide Global Holdings (NGH) project to create the Nationwide Global Funds for distribution primarily through offshore variable annuity products. The NGH funds were structured as UCITS and domiciled in the Cayman Islands and Luxembourg.

BISYS Fund Services, Inc., Columbus, OH - Vice President of Client Service 01/1989- 02/ 1998

Promoted to Vice President of BISYS Fund Services in 1993. BISYS (Acquired by Citi 2007) was a leading full-service outsourcer to proprietary mutual funds in the United States and Ireland. Responsible for all aspects of services provided to five to ten of BISYS' largest clients including growth and distribution plans, cross sell initiatives, contract negotiation, board management and presentations, product management and profitability.

Over my nine years at BISYS I had extensive experience in all facets of the mutual fund and asset management industry working in all functional areas of BISYS and its predecessor Winsbury, Enthusiastically led BISYS client teams responsible for delivering services and products to clients. These teams consisted of fund accounting, transfer agent, shareholder servicing, legal and financial administration, broker dealer administration, distribution services and compliance. Other responsibilities included:

Developed and coordinated strategic distribution and marketing plans pertaining to clients' mutual fund products and their internal and traditional external (third-party) distribution channels.

Coordinated and led project management and implementation of various client mutual fund conversions, acquisitions and mergers such as; common and collective funds, fund accounting, transfer agent, and administration.

Fifth Third Bank, Columbus, OH – Vice President 08/1984-01/1989

Promoted to Vice President and Branch Manager in 1985. Opened and managed three new branch locations and successfully executed sales plans, while exceeding deposit, lending and profitability goals. Completed graduate school while working full-time.

Education / Professional Licenses

Xavier University Cincinnati, OH Master of Business Administration/ Finance Major

Capital University Columbus, OH Bachelor of Arts/ Business Administration & History Major

FINRA Series 7, 24, 28, 65 and 63 (Expired)

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