Highlights

Rob is an accomplished business leader in the financial services industry. His experience includes managing a wide variety of Transfer Agent and Distribution functions within asset management organizations, allowing him to pull from proven practices to help clients achieve their desired outcomes.

Specialties

Organizational Transformation, Product Placement, Distribution, Risk Mitigation, Vendor Relations, Sales Processes and Sales Operations, Data Analytics, CRM Systems, Process Improvement, Client Experience and Change Management

Relevant Experience

  • Placed multiple investment products with both Institutional and Retail distribution partners, coordinating initial product due diligence, pricing and onboarding of new trading partners, thereby increasing the sales of Invesco products including Mutual Funds, UITs, SMAs, ETFs, Reg-D offerings, Alternative Investments and custom portfolios
  • Headed the integration of the Invesco, Van Kampen, and Morgan Stanley Investment Management Distributor Operations functions including reconciliation of all partnership agreements, CRM systems, Market Analytics for targeting Financial Advisors, Wholesaler and Territory alignment
  • Implemented and oversaw the ongoing compliance with Sarbanes-Oxley related processes, covering the annual expense of over $100 Million and impacting funds’ Level-A corporate financials
  • Automated and managed the ETF Creation Unit process for PowerShares ETFs working with Authorized Participants, resulting in process improvement and reducing overall firm-level trading risks
  • Responsible for Fund Board presentation for both Distribution Agreements and 12b-1 Plan continuance
  • Rob previously held FINRA series 7, 24, 66 and 53 licenses while at Invesco

Prior Positions Held

  • Principal Consultant – TruCore Business Development
  • Director, National Accounts – Invesco
  • Head of Distributor Operations – Invesco
  • Vice President, Dealer Operations – Invesco
  • Senior Operations Manager – Invesco (AIM Funds)
  • Senior Operations Lead – BNY Mellon (First Data Corp)

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