ROHIT ITALIA adcjz3@r.postjobfree.com 909-***-****

March 30, 2020

Wall Street Options

Greetings,

I am interested in applying for the position of CLO Controller currently available with your client. I have a demonstrated history of success in the industry, and believe that my extensive experience in fixed income credit operations, paired with my excellent communication, analytical, and management skills, would make me an ideal candidate for the role. I believe the following highlights from my resume demonstrate my unique qualifications for the CLO Controller position:

Extensive knowledge of CLO, CDO, and 40 act / SMA funds, through 15 years of experience working at an asset manager, a CLO/ABS trustee shop, and fintech software companies.

7+ years leading and managing teams. Served as CLO Operations Manager at the TCW Group.

Managed numerous large-scale projects, implementation of Middle-Office systems, and the automation of processes and reports.

Adept in compliance reporting, waterfalls, and supporting funds throughout their full life-cycle.

Experienced in all aspects of closing CLO transactions – warehouse, sale of assets, accrued interest tie, flow of funds.

Played key roles in the development of the platforms at SS&C, The TCW Group, and Deutsche Bank.

Well-versed in all asset classes that trade in CLO and 40act funds – Bank Loans, Corporates, ABS/MBS/CMBS, Treasuries, Sovereigns, Derivatives - FX, Forwards, Swaps, Options.

Worked closely with the portfolio managers and traders on the Credit, ABS/MBS, and EM Desks, providing ad-hoc analysis and complex model build-outs in MS Excel.

Worked daily with trustees, underwriters, auditors, service providers, and legal counsel.

Conducted several presentations to executive management committees, underwriters, and investors.

Knowledgeable of current news in the financial markets involving securitized products and regulatory developments.

Skilled in Excel, SQL, VBA, Bloomberg, Everest, Markit/WSO, CDO Suite, Geneva, Charles River. Amongst other things, I’m an analytical thinker and a problem solver. I’ve proven to lead willingly, employ sound decisions, and establish cooperative working relationships. I am excited for the potential to partake in the growth of the Credit platform of your esteemed client. I have attached my resume for your consideration.

Sincerely,

Rohit Italia

ROHIT ITALIA

909-***-**** • adcjz3@r.postjobfree.com

EXPERIENCE

ALLVUE SYSTEMS (F.KA. BLACK MOUNTAIN SYSTEMS) New York, NY Compliance SME Project Manager June 2019 – Current Sole member of Compliance Implementations group designated to be the business-side subject matter expert for CLO, SMA, 40 Act, structured product knowledge. Manage implementation projects to onboard Black Mountain Systems Everest compliance functionality around pre/post trade compliance, as-of-date, and hypo scenarios.

Lead project teams for front-to-end implementation of compliance the module for CLOs and SMAs.

Serve as relationship manager to various clients for compliance implementation, trade workflow and credit management

Work on funds of various structure and underlying asset types: CLO – BSL, Middle Market, Euro, Revolver, Borrowing Base facilities, TRS; 40Act, SMA, ERISA, UCITs.

Well-versed in all asset classes that trade in these funds – Bank Loans, Corporates, ABS/MBS/CMBS, Treasuries, Sovereigns, Derivatives - FX, Forwards, Swaps, Options.

Build compliance rules, ratings notching, and payment waterfalls into the Everest compliance system to meet all specification requirements in Indenture and Investment Management agreements.

Individually model all CLO compliance tests and payment waterfalls in MS Excel to verify system calculations.

Work extensively in databases using SQL to model, troubleshoot, and build compliance functionality. Key Contributions

Creating Excel models for Compliance Implementation group to validate all compliance results prior to implementation. SS&C TECHNOLOGIES New York, NY

Analytics Manager Associate Director March 2018 – May 2019 Lead manager of a large-scale project migration of over 100 fixed income mutual funds, separately managed accounts, and CLOs to the SS&C compliance platform. Business lead in the design and development of a new proprietary compliance system to handle portfolio investment compliance of mutual funds, separately managed accounts, and CLOs on the same platform.

Maintained pipeline of all new fund launches and fund migrations, and ensure operational readiness. Migrated 70% of client’s suite of fixed income funds - Mutual Fund, 40ACT/ERISA, SMA, CLO funds.

Oversaw teams across global locations - New York, Boston, Los Angeles, London, Mumbai and Singapore.

Worked closely with development team in the UK to build compliance system from middle-to-front end. Brainstorm with developers to design, create, and rollout new system functionality.

Reviewed IMA/Indentures on SMAs and CLOs. Code requirements into compliance tests while back-checking complex test calculations in Excel.

Involved in all aspects of closing CLO transactions – warehouse, sale of assets, accrued interest tie, flow of funds.

Participated in sales pitches and due diligence visits to current and potential clients.

Adept in CLO, 1940 Act, ERISA, and UCITs compliance. Key Contributions

Assisted in development of current system architecture that handles investment compliance for both CLOs and SMAs.

Created standard flow of funds template to be applied across all CLO warehouse closings.

Integrated Borrowing Base file for underwriting banks to our internal systems for seamless reporting.

Modeled in Excel the S&P CDO Monitor formula version, OC tests with haircuts and distressed calculations, Collateral Quality test with dynamic AQM triggers and Diversity. Working Excel models used to build logic to compliance system. THE TCW GROUP Los Angeles, CA

Senior Business Analyst Vice President May 2016 – March 2018 Achieve risk mitigation and analytics as an integral part of a ten-member team consisting of project managers, business analysts, developers, and fund compliance specialists. Business Analyst assigned to various projects to improve trade efficiencies and mitigate risk.

Functioned as a project manager and business analyst in the build out of proprietary a trade order management system capable of pre-allocation compliance on fixed income portfolios.

Moderated quarterly committee meetings with executive management and members of Trading and Allocation (Fixed Income and Equity), Pricing, Enterprise Risk Management, and Data Governance committees.

Analyzed data on pricing trends and presented to TCW Mutual Funds Board at quarterly meetings.

Drafted responses to client’s Request-For-Proposals in relation to Trade Allocation and Enterprise Risk Management. ROHIT ITALIA Page 2

Key Contributions

Collaborated with Investment Compliance, Operations, Trade Desks, and IT teams to gather requirements, assist in design and development of a single point-of-entry Trade Order Management system.

Constructed a reporting system that provides firm-wide exposures on counterparties from various derivatives and futures contracts – ISDA, MSRA, MSA, TBAs, Options and Futures. CLO/CDO Operations Manager Vice President September 2013 – May 2016 Managed a four-member team consisting of CLO/CDO analysts and reconciliation specialists overseeing 38 CLO/CDO funds totaling over

$3.2B in assets under management. First manager recruited to lead the group.

Responsible for all daily investment operations connected to pre/post-trade and monthly portfolio compliance, payment distribution, and cash/holding reconciliation on all CLO and CDO funds.

Worked closely with the portfolio managers and traders on the Credit, ABS/MBS, and Emerging Markets Desks; served as a liaison between the trade desks and the CLO/CDO operations team.

Point man in Investment Operations for CLO warehouse/closing/ramp-ups; CDO liquidations and redemptions.

Hosted client meetings to field proposals from third party servicers for our CLO platform and interacted with potential underwriters to seek arrangement for CLO funding.

Worked extensively with legal counsel and underwriters in drafting documents and closing transactions.

Well versed with broadly syndicated leveraged loans, CDS/TRS products and structures, as well as swap documents.

Attended annual OPAL CLO conferences on behalf of TCW CLO Operations. Established relationships with potential and existing clients.

Knowledgeable of current news in the financial markets concerning Mutual Funds, CLOs, leveraged finance, and regulatory developments.

Key Contributions

Performed various CLO stress scenarios - default rate, recovery, prepayment, interest rate, and call period adjustments for effect on future interest cash flow and par deterioration.

Setup iterations of a model portfolio during the warehouse period and calculated weekly interest projections for CLO payment during the portfolio ramp (40% to 100% ramped).

Built a pre-trade compliance model for the head CLO credit trader that was used to run hypothetical trades to analyze the accretive value that buy/sell trades will have on the portfolio prior to execution.

Created the first models for the firm to calculate and track various metrics on the CLO funds: Cash on cash and internal rate of return, net asset value, and portfolio turnover ratio. Used in the firm’s marketing materials.

Created daily dashboards in excel that provided portfolio managers portfolio views by rating, spread, maturity, industry; including trend analysis for daily compliance test results. DEUTSCHE BANK Santa Ana, CA

Structured Credit Services Specialist Officer March 2006 – September 2013

Relationship manager in the closing of 17 CLO/CDOs with deal sizes ranging from $350MM to $2B.

Responsible for monthly and quarterly portfolio compliance, investor reporting, and payment calculations for the funds.

Worked with in-house developers to code CDOSuite for portfolio compliance and payment waterfalls.

Adept in analysis of Moody’s, S&P, and Fitch credit research reports and rating assignments on Corporate Bonds, Bank Loans, ABS, and Sovereigns. Proficient in rating derivations, recoveries, and haircuts. Portfolio Accounting Analyst I - III March 2004 – March 2006

Managed accounting and facilitated all daily operations for fund - including trade settlements, tracking asset payments, accruals, amortization, re-pricing of loans, and corporate actions.

Analyze loan contract level data and verify accuracy of re-pricing information.

Worked within a team to construct the first workbooks in Excel that track all portfolio accounting activity. EDUCATION

CALIFORNIA STATE POLYTECHNIC UNIVERSITY Pomona, CA Bachelor of Science - Business Administration September 1999 - December, 2003

Bachelor of Science degree in Business Administration with a concentration in Finance. TECHNICAL SKILLS

MS Excel, SQL, VBA, Bloomberg, BMS Everest, Markit/WSO, CDOSuite, Geneva, Charles River.

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