AVP, MF Operations

Brian S. Gardner

*** ********* ***** ****** (**2) 239 – 3909

Sanford, FL 32771 **********@*****.***

OBJECTIVE To utilize my extensive skills and experience as a financial services operations manager with a dynamic and progressive firm.

SUMMARY Seasoned manager with over 8 years of experience at a Financial Services company with deep knowledge of the Mutual Fund industry including trading, reconciliation, settlement and product support for both domestic and offshore mutual funds.

EXPERIENCE Pershing LLC. Lake Mary, FL

Assistant Vice President, Mutual Fund Operations March 2007 – Present

• Responsible for the proper and quality execution of orders on the Mutual Fund Order Desk.

• Manage nine direct reports who are responsible for the timely and accurate processing of trades.

• Relocated to Lake Mary office to be an integral part of the hiring, training and development of new hires.

• Ensured a smooth transition of processes from one location to another while maintaining management responsibilities.

• Worked with Management Team to maintain and update Policies and Procedures manual.

• Implement and monitor progress of Offshore Mutual Fund Trading platform working closely with Euroclear.

• Create monthly billing invoice for Euroclear trading and transfer activity.

• Continuously review dealer agreements, add new clients and balance/reconcile the transactions.

• Helped grow Pershing's offshore trading business from a beta testing phase to a full product offering.

• Perform due diligence review of offshore funds to meet eligibility requirements.

• Generate daily reports regarding Pershing’s mutual fund trading activity to better understand productivity.

• Meet with both clients and prospects to develop and further build business relationships.

• Knowledgeable in the full product life cycle from conception to full product launch using QA, UAT, XAT and production.

• Involved in the testing and implementation of trading system enhancements.

• Participating in monthly calls with DTCC to enhance offshore mutual funds and the client experience for the mutual fund industry

• Responsible for review of all market timing restrictions.

• Support the annuities staff with their daily responsibilities, which includes working closely with vendors and insurance products, as well as processing trade reconciliation and linking accounts.

Pershing LLC. Jersey City, NJ

Mutual Fund Trading Supervisor August 2005 – March 2007

• Continued to accumulate responsibilities and develop role within the Mutual Fund Order Desk.

• Managed and trained 5 junior associates who were responsible for executing mutual fund orders.

• Began beta-testing a process for executing Pershing's newly developed offshore mutual funds.

• Worked closely with EuroClear to support the trading of non-dollar denominated mutual funds.

• Reviewed all large internal trade reports to ensure accuracy of junior associates processing ability.

• Created and subsequently analyzed associate productivity reports to gauge the performance of reports.

• Developed a training manual and presentation for customer training groups to educate them on our process.

Mutual Fund Trading Associate February 2004 – August 2005

• Main responsibility was trade reconciliation and correction processing of mutual funds.

• Worked closely with our Balancing, Settlement, and Customer Service Teams to ensure efficient processing.

• Monitored accounts that were in the "short" position, verifying the reason for and resolving any open issues.

• Performed financial analysis within the mutual fund families to ensure records accurately reflected share balances, trade dates and other relevant information.

• Supported Assistant Vice President and President of Mutual Fund group in order to meet their objectives.

EDUCATION Syracuse University Syracuse, NY

Bachelor of Science, Marketing and Entrepreneurship September 2000 – May 2003

University of Colorado, Boulder Boulder, CO

Attended Freshmen Year September 1999 – May 2000

CERTIFICATIONS FINRA Series 7, 6, and 63 Licenses

PERSONAL Proficient in the Microsoft Office Suite: Outlook, Word, Excel, and PowerPoint.

Strong understanding of the mutual fund industry, as well as processing and trading systems.

Lived in Zurich, Switzerland from 1993 to 1997 and London, England from 1997 to 1998.

Gained a working knowledge of German during my time living and working overseas.

REFERENCES Available upon request

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