ROGER S. STERN

**** – *th Ave. – apt *C

Brooklyn, New York 11220

acxp2e@r.postjobfree.com

347-***-****

Summary

Results-oriented manager with more than 15 years experience in the financial services industry. Specific accomplishments and recognized expertise in project management, mutual fund operations and client services. Proven track record of effectively managing new projects, while interactive with management at all levels. Focused, bottom-line professional with experience in maximizing efficiency while improving quality in a rapidly changing environment. I had been out of work for several years on SS disability.

Business Chronology

Coldwell Banker

Sales & Financing

Contacting prospective clients for real estate and financing needs 6/15 – 5/16

UBS 6/93 – 3/05

UBS Global Asset Management Inc., a subsidiary of UBS Inc. 2/01 – 3/05

Associate Director - Mutual Fund Administration – Product Specialist

Co-managed transfer agent staff of six (6) client service advisors, one (1) supervisor, and one (1) manager transfer agent relationship for client services and operations for the UBS Institutional Money Market Funds.

Implemented remote listening capabilities to ensure quality of calls and orders taken by various client service advisors

Established premiere direct line for several UBS Financial Services financial advisors

Supported third-party distribution of the funds

Worked with UBS Financial Services to help implement the “UBS Institutional Money Markets Fund” re-write allowing financial advisors to place orders via the UBS trading system

Helped establish operational procedures for the UBS (IRL) Select Reserves Money Market Fund

Oversaw project for mailing new UBS Institutional Money Market Fund applications to various clients and financial advisors

Implemented quality control procedures to minimize trading and processing errors by the transfer agent

Designed and produced reports, ensuring commission payments, and managed all operational aspects for the UBS Institutional Money Market funds

Assisted in establishing operating infrastructure and workflows for the distribution of the GAM Hedge funds to UBS Financial Services

Reconciled trade activity between the transfer agent and UBS operations as well as ensuring money settlement between the parties.

Ensured timely commission payout of 12B1 fees to UBS Financial Services financial advisors

Worked with the portfolio management team and assumed operational functions for the Quantitative Allocation Hedge Fund

Established schedule to ensure operational deliverables from the transfer agent were met on time each month (e.g. file transmissions for 12B1s, account value updates, etc.)

Ensured all commissions and 12B1 fees paid to various UBS Financial Services financial advisors

Mitchell Hutchins, Inc., a subsidiary of PaineWebber 4/99 – 2/01

Assistant Vice President - Mutual Fund Trade Settlement

Supervised five (5) portfolio assistants who ensured timely trades settlement via Alert, Oasys, D.T.C Trade Suite

Monitored voluntary corporate actions for several Paine Webber mutual funds as well all institutional accounts

Provided cash projection reports to several portfolio managers.

Produced monthly asset allocation report for balanced institutional accounts and mutual funds.

Responsible for producing portfolio modeling reports for various portfolio managers.

Responsible for maintaining and opening new accounts on the Alert system

Roger Stern continued…

Assistant Vice President 6/93 – 4/99

Project Manager, Portfolio Assistant and Trader, Fixed Income and Equity Reconciliation Supervisor

Fixed Income and Equity Reconciliation Clerk,

Managed investment activity of RMA Government Fund and short- term cash allocations of various PaineWebber

Mutual Funds. Investments consisted primarily of repurchase agreements, treasury bills, treasury notes and discount agencies.

Instrumental in the development and implementation of the Securities Lending Program involving over 30 mutual funds. Determined investments for the program involving agency discount notes, repurchase agreements and external money market mutual funds based on current market indicators. Engaged in individual / average pricing of investment instruments (e.g., CDs, C.P., MTNs)

Responsible for producing portfolio modeling reports for several portfolio managers.

Wrote and tested compliance rules and guidelines for various institutional, trusts, and high net-worth individual’s accounts for the Merrin trading system.

Education

Entertaining options of returning to school or attaining my bachelor’s degree on line (e.g. the Phoenix Institute).

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