Project Manager Management

LAWRENCE J. AULI

** ***** ****

East Northport, NY 11731

Home: (631)

***-****

Cell : 631-***-****

E-mail: abmahp@r.postjobfree.com

SUMMARY

Results oriented executive with extensive experience in financial services

for both domestic and offshore business

markets. Advanced business development skills, with a proven track record

in client retention. Entrepreneurial style leader using deep industry

knowledge to create solutions. Focused professional who can lead, manage,

and motivate.

. Business Development and Sales (

Strategic Marketing and Distribution

. Client Service and Relationship Management ( Operations and

Vendor Management

. Global Product Management ( Strategy and Project Management

PROFESSIONAL EXPERIENCE

Independent Consultant: Strategic advisor / project manager for evolving /

post-merger clients (2009-Present)

BANK OF NEW YORK MELLON CORPORATION, Jersey City, New Jersey

(2004-2008)

Vice President, Business Development- BNY Mellon Investor Services

Implemented business strategy for over 100 investor clients and prospects

(insurance companies, fund managers, banks, and hedge funds). Executed on

all strategic product, market, brand, and sales plans. Included

comprehensive communications: consultative meetings, calls, and webcasts,

establishing a sales pipeline. Coordinated KYC setup.

. Exceeded initial targets through new and cross-sales of securities

services and cash management.

. Proactively worked as the client advocate, ensuring quality,

optimal service model, and their reference.

. Created start-up products and identified partnership opportunity to

accelerate revenue growth to 5MM.

. Designed market collateral, presentations, and proposals. RFP rate

increased tenfold within first year.

.

Independent Consultant: Project / line assignments in asset management,

trust, and custody (2002-2004)

JP MORGAN CHASE AND COMPANY, New York, New York

(1986-2001)

Vice President, Product Management -JPMorgan Fleming/Chase Global Asset

Management 1994-2001

Direct responsibility for the development of mutual funds, alternative

investments, and separate accounts for this global asset management group

with assets of $178 billion. Extensive travel to Europe, Asia, and the

Caribbean.

Led cross-functional project teams across business lines: sales, marketing,

legal, compliance, and operations.

. Developed and executed product project plans. Determined

prioritization processes for the strategic initiatives of the

business. Proprietary mutual fund assets grew from $6 billion to

$53 billion within

a six-year period. Provided ongoing vision and direction for

key projects, managing the product cycle.

. Developed fund accounting, custody, and transfer agency solutions

for all investment products offered.

Coordinated setup, monitoring, and records for AML/KYC compliance:

BSA, Patriot Act, and OFAC.

. Implemented operating plans for the start up of multi-currency

liquidity funds (USD, Euro, Sterling) in Ireland. These multi-

currency liquidity funds included a share class for institutional

cash sweep investors and became the third largest in Ireland with

assets over $4.8 billion within a two year period.

. Implemented plans for start-ups in single and multi-advisor, multi-

strategy hedge funds. Partnered with counsel on structuring,

documentation, and regulator filings. Assets grew to $500 million

over 2 years.

. Pursued innovative product structures to increase distribution

opportunities including multiple share

classes, master feeder, private label, multiple currency

products, and third-party commission financing.

As team leader, provided presentations to senior management and

Fund Board of Directors as required.

Vice President, Service Delivery-Chase Global Asset Management-Vista Funds

1988-1994

Oversight responsibility of vendors: accounting, custody, and transfer

agency. Developed business requirement documents, due diligence, system

reviews, negotiated contracts and Service Level Agreements. Established

metrics.

. Designed a central shareholder processing platform across multiple

internal systems, engaging NSCC

Fund/SERV. Achieved paperless environment, automating the

reconciliation process and reducing risk.

. Led conversions for Alternative Investment products from Bahamas to

Bermuda and Grand Cayman. Appointed new vendors, moved accounting,

custody, and shareholder files. Resolved business issues.

. Managed a staff of 14 including 4 officials. Responsible for

related budget and administration.

Lawrence J. Auli

Page 2 (Chase contd.)

Assistant Vice President, Worldwide Securities Services- Custody/Trust

1986-1988

Overall management responsibility for operations and relationships with

advisors managing pension plans, endowments, and foundations. Managed

securities processing teams for money market, fixed income, equity,

derivatives, mutual and commingled funds. Performed settlement routines and

residual cash management.

. Designed a plan to handle a 300% transaction volume growth while

reducing transaction cost by 50%.

. Established SLA's, metrics, and standards. Implemented call and

visit programs to review issues and pursue cross sell

opportunities: foreign exchange, securities lending, analytics, and

other outsourcing.

. Received top performance rating in client surveys, ensuring largest

account retention and growth.

. Introduced on line portfolio services to client advisors. Devised

aggressive rollout program.

. Developed productivity improvement, technology enhancement plans,

and MIS programs.

. Managed a staff of 25 including 2 officials. Responsible for

related budget and administration.

BANKERS TRUST COMPANY, New York, New York

(1975-1986)

Assistant Vice President, Securities Services-Custody/Trust

1984-1986

Overall management responsibility for operations and relationship

management for investment advisors managing pension plans, endowments and

foundations. Services included transaction processing, Fed wires

processing, settlement, and cash routines.

. Established SLA's, metrics, and standards with clients. Established

call programs and onsite visits to promote additional service

capabilities-on line account access for DTC affirmations and

inquiry.

. Designed a call system to reduce securities fails. Reduced negative

float by $200k annually.

. Developed interest claims process on erroneous broker D/K's.

Successfully claimed $225k first year.

. Managed a staff of 60 including officials and staff.

Assistant Treasurer, Advisor Services Control Unit

1982-1984

. Managed the fail control process, reducing negative float balance

$6 million average daily.

. Developed ideas to improve integrity on funds within STIF. Realized

$100k annual savings.

. Managed the Control Unit, having a staff of nine plus one

supervisor.

Supervisor, Trust Services Unit

1979-1982

. Supervised Fail Control Unit and Ledger areas. Supervised staff of

15.

Administrator, Trust Services Unit

1975-1979

. Progressed to various staff positions while gaining experience in

dividends/interest, Reorg, GNMA principal payments, and all

securities types.

EDUCATION

PACE UNIVERSITY, New York, New York

BBA Business Management 1986

Various offsite advanced management courses

PROFESSIONAL

FINRA (NASD) Securities License Series 7, Registered Representative

FINRA (NASD) Securities License Series 63, Uniform Securities Agent

Member, ICI

Member, NICSA

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