1. ROBERT M. FERRY
6300 English Elm Court Charlotte, NC 28277 Home (704) 341-7365
Cell (704) 287-3312
Email Rferry@bellsouth.net
SUMMARY
Over 25 years of experience in the investment management industry. Extensive experience in all aspects of back-office
operations, managing large client relationships, development and marketing of products, mutual fund/security valuations
and large scale mutual fund accounting.
PROFESSIONAL EXPERIENCE
K Force, Charlotte, NC
Business Analyst, Ally Bank, (02/13-Present)
Provide back-office support, including cash and position reconciliations, trade settlement and accurate accruals of
interest income.
• Assisted in development of operational controls and systematic work flow.
• Established streamlined procedures for month end closing process.
• Consolidated operational process resulting in a FTE savings.
• Support trading desk for accurate and timely settlement of all trades.
• Participate in internal and external audits.
Sterling Capital Management, Charlotte, NC
Project Manager, System Merge and Environment Consolidation Project, (10/11–09/12)
Responsible for analyzing and mapping all required data for accounting and trading systems conversion, data includes
but not limited to performance history, mutual fund and securities classifications and composites.
• Review of data changes in test environment for downstream effects regarding clients’ portfolios, trading
performance and reporting.
• Assisted in the establishment of new operational responsibilities and workflows for merged environment.
• Established procedures for corporate action processing across company lines of business.
• Ensured integrity of client accounts post system merge.
Talent Bridge, Charlotte, NC
Project Manager, Integration Team, LPL Financial, (6/11-10/11)
Responsible for servicing the needs of newly converted Banks and Credit Unions to the LPL Financial platform.
• Conducted daily / weekly meetings to track and escalate issues related to conversion, identified trends and
process improvement needs.
• Researched complex issues, set customer expectations, and defined the actions necessary to resolve conflicts
and problems.
• Communicated LPL operational and financial industry policies and procedures.
• Establish operational work flow across multiple departments including compliance, legal, finance and tax.
Sovereign Advisers, LLC, Charlotte, NC
Director of Operations, (11/08-12/10)
Responsible for the management of all daily operational functions for a $800 million Fixed Income Manager. Department
responsible for all aspects of back office operations including security settlement, account reconciliations and performance
calculations.
• Established operational workflow with over 25 different custodians including transaction processing, security
settlement and account reconciliations.
• Established account opening procedures which include investment management agreements, account applications,
sub-advisory contracts and referral payment documents.
• Presided as liaison between trading desk, credit analysts, custodians, broker dealers and operational staff.
• Responsible for all aspects of quarterly billing process. Established streamlined procedures to ensure timely payment
of outstanding management fees.
• Responsible for office administration including rent, sub-leasing unused office space, supplies and technical
infrastructure of the company.

2. ROBERT M. FERRY
6300 English Elm Court Charlotte, NC 28277 Home (704) 341-7365
Cell (704) 287-3312
Email Rferry@bellsouth.net
Bank of America, Charlotte, NC
Vice President, Securities Specialist, (5/07-11/08)
Responsible for the daily operations of two Passive Investment Companies totaling $35 billion in assets
including: mortgage backed securities, asset backed securities, municipal and corporate bonds. Act as main
point of contact for tax, finance, accounting and trading departments
• Provide daily management of cash accounts totaling over $12 billion
• Preside as Director at quarterly board meetings, responsible for preparing board materials including financials and
asset summaries.
• Provide monthly and quarterly reporting to the Fed Home Loan districts for the collateral management desk.
• Responsible for the merger of $16 billion of Countrywide Corporate investment assets onto the Bank of America
operating system.
APC Workforce Solutions, LLC, Charlotte, NC
Consultant, Bank of America Corporate Investment Operations, (10/05 - 12/05, 10/06 - 5/07)
Provide back-office support for Corporate Investments trading desk.
• Assisted in development of operational controls and systematic work flow for new securities traded in the
Corporate Investment line of business.
• Security types included fixed income, equities, equity options, economic derivatives and other hedging vehicles.
PFPC Inc, Charlotte, NC
Director, Client Liaison, (3/01- 9/05)
Responsible for maintaining a strong and positive relationship between PFPC and Banc of America Capital
Management, LLC. Ensuring that the client’s business plan is well understood and that the client’s expectations were
consistently met or exceeded.
• Coordinate tax administration services inclusive of processes, timeliness and detailed specifications, as well as
all standard compliance mailings required by the Internal Revenue Service.
• Coordinate special events (i.e. mergers, new fund start ups, fund liquidations) with internal and external teams
including systems, operations and sales.
• Key participant for SEC and NASD regulatory investigations and inquiries.
Banc of America Capital Management, LLC, Charlotte, NC
Assistant Vice President Product Manager, (6/00- 3/01)
Position, analyze, and serve as advocate for proprietary equity product set, including retail mutual funds, separate
accounts, wrap accounts, commingled funds, variable annuities, and donor-advised programs, with over $25 billion in
equity assets.
• Project management of new product launch teams. Coordinating the efforts of legal, compliance, marketing,
operations, sales, and transfer agent.
Assistant Vice President/Senior Fund Analyst (3/99- 6/00)
Responsible for the development and implementation of controls and reviews pertaining to the daily oversight of foreign
and domestic equity securities within NationsBank/Bank of America mutual funds.
• Merger of over 20 RICs with over $65 Billion over a 2-month period as a result of the
NationsBank/BankAmerica merger, including consolidation of multiple service providers.
• Develop controls and procedures for securities valuations and reporting of such information as well as other
assorted data elements to the BACAP, LLC valuation committee.
EDUCATION
ST. FRANCIS COLLEGE, Loretto, Pennsylvania
Bachelor of Science, May 1985