Frederic McGee has over 30 years of experience in banking, brokerage operations, project management and consulting. He has expertise in many areas including operations management, compliance, cost basis reporting, corporate and municipal bonds, custody, derivatives, reconciliation, mergers and acquisitions, and more. McGee held consulting roles at several large financial institutions where he implemented systems, managed projects, performed reconciliations, and trained staff.

1. Frederic D. McGee
4440 Lindell Blvd St Louis 63108
Phone: 917-370-4898 • Email: fmcgee2@yahoo,com
SUMMARY OF QUALIFICATIONS: Over 30 years of progressive consulting and project management experience in the
banking and brokerage industry with expertise in Operations management, Compliance, Cost Basis Reporting Rules,
Corporate Bonds, Corporate Trust, Data Integrity, Brokerage IT, Global Custody, Derivatives, Reconciliation (RECON
PLUS), Mergers & Acquisitions, Municipal Bonds, Mutual Funds, ACATS, Corporate Actions, Restricted Stock, Securities
Lending, Treasury, and Trade Support.
WORK EXPERIENCE:
Wells Fargo Advisors/Wachovia Securities/First Clearing Corp, Richmond, VA 7/08 – Current
Consultant-Cost Basis-Mutual Fund Operations
 Implemented and tested IRS Cost Basis rules & regulations surrounding organizational actions
 Performed detailed breakpoint analysis of mutual fund trades
 Resolved inquiries related to the settlement, correction, order entry, and rejections of mutual fund transactions
 Trained new employees on department processes and procedures
Broadridge Securities (formerly ADP), New York, NY 2/08 - 6/08
Consultant-Conversion Recovery
 Trade reconciliation, security depository reconciliation, and cash reconciliation for client Royal Bank of Canada
Accomplishments: Recovery of 98% of un-reconciled items assigned to project team
Mitsubishi UFJ Bank and Trust, New York, NY 4/07 - 1/08
Consultant-Securities Lending and IT
 Managed the Project Management Office (PMO) and Project Life Cycle (PLC) methodology to create a structured
environment for systems implementation for the largest Japanese financial institution
Freddie Mac, Mclean, VA 2/07 - 4/07
Consultant-Accounting
 Processing of cash recon, short-term debt validations, LTD issuances, FX instruments, discount and premium
expense/amortization, prepared LTD to STD Reclass, OCI tax entry and FX non-hedge debt, transaction gain/loss
Royal Bank of Canada, New York, NY 11/06 - 2/07
Consultant-Accounting Conversion Team
 Implemented accounting architecture related to the global processing solutions for RBC Capital Markets
Wachovia Securities/First Clearing Corporation, Richmond, VA 9/05 – 10/06
Consultant-Mutual Fund Trading
 Performed detailed analysis of mutual fund trades to ensure that purchases were charged the correct breakpoint
discounts
 Confirmed Letter of Intent (LOI) existence
 Confirmed and verified mutual fund sales charges
 Verification of breakpoint discounts, NAV transfer eligibility, reinstatement eligibility, and aggregation of classes
JP Morgan Chase, Jersey City, NJ 6/04 – 12/04
Consultant-Accounting Conversion Team
 Headed accounting conversion project and led a team of ten consultants
 Post ADP/Impact conversion for cash and G/L accounting
Accomplishments: Identified and corrected over $700 million in G/L and DTC cash breaks

2. Frederic McGee Resume
Wachovia Securities/First Clearing Corporation, Richmond, VA 8/03 – 5/04
Consultant-Mutual Fund Trading
 Performed detailed analysis of mutual fund trades to ensure that purchases were charged the correct breakpoint
discounts
 Confirmed Letter of Intent (LOI) existence
 Confirmed and verified mutual fund sales charges
 Verification of breakpoint discounts, NAV transfer eligibility, reinstatement eligibility, and aggregation of classes
CitiCapital, Hoboken, NJ 1/03 – 7/03
Consultant-Leasing Services
 Prepared leasing company acquisition for integration into parent company
 Validated balance sheet versus product processor and re-engineered vendor reporting buyout process
 Trained staff on new procedures and processes
Accomplishments: Reduced vendor reporting error rate by identifying and correcting $30 million in errors
JP Morgan Chase Bank, Jersey City, NJ 1/02 – 12/02
Consultant-Government Securities
 Researched and reconciled all government securities; MBS, CMO's Repo’s for aged interest claims
 Processed P&I payment and settlements
 Reconstructed ledgers and identified recoveries
Accomplishments: Instituted new procedures to prohibit recurring breaks
First Union Brokerage Services/First Clearing Corporation 8/96 – 12/01
Consultant-Brokerage Operations
 Responsible for Restricted Stock daily trade compliance issues and Rule 144 issues
 Assisted transition teams managing system conversions for mergers
 Security Master security set-up
 Development and implementation of pricing procedures for outside vendors and project teams
 Reconstruct Employee Stock Option Plan (ESOP) for brokerage employees
 Monitored and issued buy-in notices for Mutual fund ACAT fail desk and Mutual Fund reconciliation
 Corporate and municipal bond reconciliation, DDA reconciliation, and Margin sellout
Key Corporation, Cleveland, OH 4/94 – 6/96
Consultant-Trust Operations
 Assisted in the development and implementation of methodologies for control of out of balance conditions
 Management reporting and metrics for fiduciary cash balances
 Identified and resolved fails and trade breaks for Corporate and Municipal bonds, and Mutual Funds
 Drafted recommendations for enhancing procedures
 Drafted department policies and procedures
First National Bank of Maryland, MD 7/93 – 2/94
Consultant- Trust Operations
 Implemented procedures for the reconcilement of SEI Trust System conversion
 Balanced DDA to SEI exceptions, cash, and securities during conversion
 Reconciled income and check processing areas
 Provided analysis and recommendations for practice and procedures
Accomplishments: Assisted in establishing the fiduciary responsibility and worthiness of a single audit letter that is
signed by outside auditors and issued to each trustee

3. Frederic McGee Resume
Coutts & Co. 2/93 – 7/93
Consultant- Trust Operations
 Reconciled several Latin American Mutual funds and all holdings within various funds
 Interacted with South American banks, brokers, and foreign depositories
Kidder, Peabody & Co., Inc.
Consultant-Investment Services
 Designed and distributed marketing products to high-net worth clients
 Assisted in the implementation of in-house Portfolio Management database
 Trained and supported Registered Representatives in marketing products and prospecting new clients
 Supported broker support systems for forty-five branch offices
 Managed the collection of Interactive Fees and Safekeeping Fees on a national basis
Accomplishments: The collection of fees produced over $2mm in revenue
Bankers Trust 90/91
Consultant-Global Operations
 Managed asset and income distribution reconciliation with foreign depositories
 Managed all Corporate Actions and Reorganization department functions
Unified Management Corporation 89-90
Consultant-Brokerage Accounting
 Corporate and Municipal bond and stock reconciliation
 Income distribution reconciliation
 Trained staff on department policies and procedures
Bank of Boston 88-89
Consultant-Reorganization/Corporate Actions
 Reconciled debt (bonds, warrants, and debentures) to equity
Shearson Lehman Hutton 88-88
Consultant-Portfolio Management
 Assisted with the deconversion and evaluation of the E.F. Hutton Portfolio Management Department
Bank of America 87-88
Consultant-Trust Department
 Interacted with Money Managers on daily trade activity in domestic and global markets
 Trained staff on trade execution and procedures
Manufacturers Hanover Trust 84-87
Assistant Manager-Customer Inquiry
 Managed a department with a staff of 40
 Researched all aspects of the security industry as a result of customer inquiries
 Prepared weekly and monthly statistical reports for senior management
CitiBank, NA 83-84
Consultant-Research& Recovery
 Assisted in supervision of the Government Bond Department during GNMA settlements periods
 Stock reconciliation
 Researched and recovered funds

4. Frederic McGee Resume
The Bank of New York 83-83
Consultant-Security Clearance
 Responsible for daily trade activity in custodian accounts
 Corporate Actions; Physical and Mandatory
 Receives and delivers; GNMA and MUNI
Marine Midland Bank 81-83
Consultant-Clearing
 Account reconciliation, physical security movement, loan calculations, and corporate actions
Chemical Bank 79-81
Consultant-Security Clearance
 Physical and book entry settlement and account balancing
 Maintained and serviced customer accounts
EDUCATION: Pace University, New York, NY
New York University, New York, NY
SPECIALIZED TRAINING: Anti-Money Laundering, Bank Secrecy, Cost Basis Reporting Rules
SOFTWARE SKILLS: Microsoft Word, Excel, PowerPoint, Access, BETA (Thomson Transaction Services), Smartstation,
Salesforce, Broadridge (ADP), ProxyEdge, ReconPlus, Stars, Impact, Depository Trust