JIM NORTHROP

**** *. ******* ***. *******, IL ***57

312-***-**** ad3syj@r.postjobfree.com LinkedIn Profile

SUMMARY

Investment Operations professional with over nineteen years experience. Ability to oversee and manage multiple people, projects and teams ensuring timely completion of deadlines while providing benefits to the clients and employer.

EXPERIENCE

NOKE LLC Consulting, Chicago, IL 2022-Current

Owner/Operator

Operations Consultant- Heisler Hospitality

Simplifying daily, monthly and quarterly workflows by simplifying processes, removing risk and adding controls

Responsible for daily and monthly accounting entries and ensuring clean P&L statements for 13 bar/restaurants

Work with staff and owners on current issues and how to best resolve

HENDERSON GLOBAL INVESTORS, Chicago, IL 2015 – June 2017

Head of US Investment Operations (2017)

Manager, US Investment Operations (2015-2017)

Responsible for all tasks such as trading, pricing, corporate actions, cash movements

securities operations and related support activities for $21B in assets across 3 U.S. locations

Oversight of the Data Management, Operations Control and Transitions functions for the US funds

Coordination of services and processes with external vendors, including on-going due-diligence and meetings

Establishing operating models for new investment mandates ensuring HGI is prepared internally and at the various custodians and vendors for upcoming changes

Updating and reviewing policies, procedures and SLA’s, recommending changes to increase efficiency and straight-through processing (STP)

Responsible for making sure Australia team is operationally prepared to begin portfolio management functions at start of day, performing reconciliation tasks, implementing controls, getting procedures aligned with rest of HGI offices

Liaise with Asian team daily to handover any outstanding tasks and assist with any issues they may have which are more easily handled in US time zone

JACKSON NATIONAL ASSET MANAGEMENT, Chicago, IL 2007 – 2015

Manager, Data and Transition Management (2010-2015)

Supervisor, Data and Transition Management (2007-2010)

Lead company initiatives and act as main US contact on all global initiatives in order to minimize risk, reduce costs by forecasting annual spend and work with all global offices on leveraging contracts and assuring prices are in-line and fair

Responsible for attaining and negotiating contracts needed with various vendors and testing their products against what best fits JNAM’s data needs

Provide trend reports, KPI’s, and a security set-up review process for all security types held across 160 portfolios, including US and global equities, fixed income, derivatives, and foreign exchange

Responsible for on-going maintenance of all policies and procedures created for committees and groups under my direct supervision

Leader of Best Execution Committee, working with 3rd party to ensure JNAM and Curian LLC are receiving fair commissions and FX rates and reporting findings on quarterly basis to the Committee

Lead Fund transitions when taking on a new sub-advisor, replacing a current sub-advisor, or merging funds which includes choosing appropriate transition manager and analyzing pre and post-trade analysis

Perform operational due diligence visits to numerous vendors and over 30 sub-advisors for our variable annuities, fund of funds, and hedge funds

Oversight of Significant Shareholding process for the US region which accumulates and reports data to our U.K. parent and Asian affiliate to meet EU and U.S. compliance regulations

Part of global team who created guidelines and controls for the Significant Shareholding process

Responsible for creation of look-through data for JNAM funds which resulted from the EU regulation of Solvency II

Managed up to 8 people during time at JNAM

Served as head project manager on launch of largest fund launch in company history, overseeing 30 people over a 6-month period and working with 3rd parties such as prime brokers, FX vendors, custodians, and target sub-advisers

Review daily reports to ensure no restrictions are breached and outstanding inquiries are being handled efficiently by staff

Created data integrity process for over 19,000 unique securities

Use multiple vendors and sources to keep security master information maintained and consistent

Responsible for ensuring data is clean within company’s security master, working with IT on new product implementations or issues that arise with current products

Oversee Operational Risk and Solutions Committee, comprised of at least one key member from each operations department to discuss current operational and system issues, potential issues with upcoming fund launches, transitions, and mergers and finding ways to mitigate the associated risks

HARRIS ASSOCIATES L.P., Chicago, IL 2002 – 2007

Senior Fund Analyst (2004-2007)

Fund Analyst (2002-2004)

Research and analyze securities for portfolio managers of the Oakmark Funds and numerous other sub-advised and separate accounts, mainly Oakmark Equity & Income (12.1B in assets)

Interact with traders, managers, brokers, custodians and other interested parties on a daily basis to ensure for correct market values and security positions

Responsible to make sure all transactions (domestic, international, fixed income, hedges and F/X) fall within compliance restrictions of each fund and that all securities are in compliance with the SEC and 40 Act

Part of team responsible for implementing company trade order management system, setting up rules and restrictions and testing functionality of system and documenting accordingly

Responsible for accuracy of all performance reports sent externally for the Oakmark Funds utilizing FactSet and Harris’s internal accounting system

Report compliance and various other statements to the advisors on a month-end and quarter-end basis

Calculate monthly, quarterly and yearly performance for all Oakmark and sub-advised funds

Prepare model portfolio reviews for the portfolio managers, review tax lot holdings reports and cost basis information, check debt security prices and investigate potential issues on a weekly basis

Prepare client reports including presentations, board packets and compliance questionnaires

THE NORTHERN TRUST COMPANY, Chicago, IL 2000 – 2002

Senior Fund Accountant (2002)

Mutual Fund Accountant (2000-2002)

Responsible for the research and entry of all security corporate actions and trades in six mutual funds

Researching security trades, prices, expenses and income to allow for correct NAV to be distributed and released to NASDAQ on a daily basis

Balancing and reconciling cash flow on a daily basis

Communicate with brokers, investment advisors, and bank personnel daily in order to insure accurate security and cash movement

Training new hires on fund processes and systems applications

Participated in the preparation of annual reports and prospectuses

SEI INVESTMENTS, Wayne, PA 1998 – 2000

Mutual Fund Accountant

TECHNICAL SKILLS

Bloomberg, FactSet, Reuters, SunGard: Invest 1 and Spectra, Advent’s AXYS, MacGregor Trade Order Management System and Omgeo, Charles River OMS, Microsoft Office, Markit EDM, Toast, Breadcrumb, Square POS, QuickBooks

EDUCATION

Bachelor of Science, Marketing, Minor, Management, Fairfield University, Fairfield, CT, 1998

VOLUNTEER

Chosen for and completed Leadership Excellence for Advancing Performance (“LEAP”), 2013

Special Olympics Volunteer, 1997-2018

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