Summary
Overview
Work History
Education
Skills
Affiliations
Websites
Previous Name
Timeline
Generic

Colleen Dean

Hollywood

Summary

Strategic financial executive with over 23 years of experience in fund management, investment operations, and financial leadership. Proven expertise in overseeing proprietary fund strategies, managing fund administration operations, and leading cross-functional teams. Recognized for driving operational excellence, ensuring regulatory compliance, and fostering strong vendor relationships. Proven capabilities in preparing for, and presenting to, high-level internal leadership, external Boards, and third-party service providers. Understanding of 1940 Act mutual funds and related investments. Ability to initiate, champion, and execute on critical platform-level and firm-level initiatives. Strong analytical, problem solving, and organizational skills with good attention to detail. Experience in leading, mentoring and providing feedback to fellow associates. Demonstrated experience in serving as a point of escalation for complex or difficult decisions. Ability to partner with applicable business areas and outside service providers regarding the design and operation of Funds' platform strategies. Ability to maintain a balance of risk and reward to facilitate business growth while effectively managing risk.

Overview

23
23
years of professional experience

Work History

President, Edward Jones Money Market Fund and the Bridge Builder Trust; Director of Proprietary Funds Strategy & Management

Edward Jones
Hollywood
03.2022 - Current
  • Represent fund adviser for $160B Bridge Builder Trust and $35B Edward Jones Money Market Fund on overall proprietary platform strategy & management, including annual 15c contract renewal process
  • Responsible for development and execution of business plan for Proprietary Funds Strategy & Management and Investment Funds Operating Group, the cross-functional leadership team responsible for all aspects of operations for both Bridge Builder Trust and the Edward Jones Money Market Fund
  • Serve as President of Bridge Builder Trust and Edward Jones Money Market Fund
  • Serve as primary interface with the Board of Directors of Bridge Builder Trust and Edward Jones Money Market Fund
  • Responsible for four separate functional fund administration teams, primary responsibility for daily NAV oversight, fund change management, platform-level projects, fair value pricing oversight, portfolio compliance and investment and regulatory guidelines monitoring, trade transaction cost analysis, liquidity oversight, subadviser and vendor oversight, planning all aspects of Board meetings, Product lifecycle management – launches, mergers, liquidations.
  • Leadership role in overall corporate governance of Bridge Builder Trust and Edward Jones Money Market Fund
  • Lead the development of strategy and priorities for key Fund vendors, including Fund Accountant, Custodian, transfer agent, and distributor
  • Oversee team that leads execution of large (> $1 billion at times) fund transitions due to changes in sub-advisers or model changes and negotiation of sub-adviser fees with existing roster of 43+ unique sub-advisers
  • Member of Valuation Committee and Liquidity Committee

Senior Vice President, Deputy Treasurer

PIMCO
New York
05.2013 - 03.2022
  • Led the Funds Treasurer’s Office, overseeing various PIMCO funds.
  • Collaborated with auditors and regulatory bodies during fund audits and examinations.
  • Oversaw PIMCO SOC 1 audits.
  • Served as Assistant Treasurer, ensuring adherence to regulatory requirements and internal policies and procedures.
  • Engagement with the Board of Directors of the PIMCO Closed-End and Interval Funds.
  • Collaborated with cross-functional teams to align fund strategies with organizational goals.
  • Implemented best practices to enhance operational efficiency and investor outcomes.
  • Executed the roles and responsibilities of the Principal Officers for PIMCO’s registered mutual fund, including internal controls over financial reporting and the associated underlying functional activities.
  • Interacted with internal and external auditors on matters relating to the preparation of financial statements and disclosures. Review various SEC regulatory reporting (N-CSR, N-PORT, N-CEN, N-1A and N-2).
  • Oversight of Board of Trustee governance routines including Audit Committee relationship and 15c planning, coordination and management for OEF and CEF Board routines. Participate on multiple governance committees.
  • Assistant Treasurer of the PIMCO 40act Open-End Funds (Equity and Fixed Income) and Deputy Treasurer, Closed-End Funds. Lead the effort for Non-Audit services, FROR protocols and continued to work with Legal, TA Oversight, and PwC on Independence policy and procedures (i.e., 38a-1 policies).
  • Prepared for and present financial information at quarterly Board of Trustees meetings.
  • Provided policy and technical advisory support for applicable functional teams within Funds Business Group (Accounting, Pricing, Finance, Financial Reporting, Tax and Fund Development).
  • Collaborated with Account management, Product Management, Portfolio Management, Fund Business Group and 3rd party service providers. Lead new product development and change management to existing products and processes.
  • Prepared for, and present to, high-level internal leadership and third-party service providers.
  • Conducted periodic executive management routines with relevant Funds Business Group, Product Strategy Group, Legal and Compliance.
  • Product lifecycle management – played an integral role with the launch of PIMCO’s first interval fund and PIMCO listed closed-end products.
  • Established PIMCO’s at-the-market (ATM) share issuance policies which included prospectus filings, on-boarding and due diligence of a new vendor (Jones Trading) and collaboration with a number of separate groups (Legal, Compliance, Account Management, PSG, Finance) to either support or educate.
  • Portfolio Compliance – monitor for adherence to product and regulatory guidelines (regulatory leverage) and credit facilities. Point of contact with the financing desk along with oversight, administration and governance of PIMCO global lines of credit and redemption facilities for PIMCO Sponsored products.
  • Led PIMCO annual SOC 1 audit review for various PIMCO-sponsored products.

Vice President, Investment Administration

Cohen & Steers
New York
08.2006 - 05.2013
  • Managed investment administration functions, including daily NAV oversight, trade processing and portfolio reconciliation.
  • Managed 20 1940-Act Mutual Funds and 2 Long-Short Parallel Hedge Funds. Funds serviced include multi- and single-class open and closed-end mutual funds; limited partnership onshore and offshore hedge funds; all funds are domestic and international with derivatives (options, swaps, forward currency contracts and futures).
  • Worked with Portfolio Managers, Traders and Heads of: Investment Administration, Legal, Marketing, Compliance and IT. Lead the implementation of new policies and procedures, enhancements of internal controls in accordance with Sarbanes-Oxley, improvements of workflows approaches/methods and system enhancements.
  • Liaise with other departments within the company such as Marketing, Legal & Compliance, and Investment Management Departments on all day-to-day operating issues of the funds.
  • Responsible for Financial Reporting duties of multiple 1940 Act funds and Hedge funds. Reviewed various SEC regulatory reporting (N-CSR, N-1A, N-SAR, N-Q, 24f-2). Coordinated year-end audit and SAS 100 reviews. Interacted with internal and external auditors on matters relating to the preparation of financial statements and disclosures. Reviewed of the quarterly, semi-annual, and annual financial statements, including sub-certification from third party service providers.
  • Responsible for identifying new accounting pronouncements and prepare appropriate financial statement disclosure in accordance with GAAP.
  • Reviewed and approved the Funds’ monthly and annual fund distributions prepared by third party administrator to ensure their accuracy including of all dividends, distributions and press releases associated with CEFs.
  • Led oversight of fund administrator, fund custodian, prime broker and transfer agent for Mutual funds and Hedge funds, including printing company that produced SEC filings.
  • Led oversight of the funds’ various third party service providers (transfer agent, fund accounting agent, custodian, and sub-administrator).
  • Established and monitored accounting policies and procedures for various funds types. Reviewed daily and monthly oversight checklists (cash, share and market value reconciliations and NAV analytics) prepared by fund administrators.
  • Prepared and reviewed quarterly board of directors’ reporting.
  • Led new product roll-outs pertaining to operational and accounting requirements. For example, key person for transition to new accounting system.
  • Assisted the Tax Director in coordination of tax reporting for securities with unique reporting requirements including REIT redesignations, MLP’s, hybrids, substitute dividends, etc.
  • Led CNS Fair Valuation Committee meetings, including documentation of all discussions and conclusions. Analyzed all fair valuation related matters and work with the valuation committee and portfolio management team to properly determine fair value prices, when necessary.
  • Evaluated accountants’ performance and assist staff with their career development.

Supervisor, Mutual Fund Operations

Franklin Templeton Investments
Ft. Lauderdale
07.2002 - 08.2006
  • Supervised mutual fund operations, including transaction processing and shareholder services.
  • Implemented process improvements to enhance operational efficiency and accuracy.
  • Trained and mentored staff to ensure high performance and compliance with industry standards.
  • Prepared Annual, Semi-Annual, Quarterly Financial Statements, and related SEC filings, such as, Form NSAR and Form N-CSR. Investigated and resolved issues within funds in conjunction with internal/external auditors.
  • Provided assistance with excise tax calculations, preparation of the funds’ tax reports such as the excise tax documents, book-tax schedules and tax provisions. Reviewed year-end reports and schedules in accordance with tax provisions.
  • Prepared and/or reviewed Board of Directors reports, Fund performance reports, and other internal documents for accuracy and reasonableness.
  • Processed and completed month-end and fiscal year-end closing entries and prepared monthly operating reports consisting of P&L, portfolio turnover, asset & margin reconciliation, expense & dividend projections, and RIC qualification tests for upper level management review.
  • Calculated daily Net Asset Value (NAV), reviewed security transactions, and posted General Ledger entries. Worked with staff to ensure the timely and accurate release of NAV and distribution factor information. Reviewed and approved final release of NAV calculation to the Pricing Department.
  • Maintained daily contact with the funds’ custodian to resolve cash movement and asset discrepancies.
  • Identified training needs and provided adequate training for staff, assisted in training and developing of 5+ Fund Accounting analysts on a daily basis, and conducted staff appraisals and provided staff with timely feedback.
  • Analyzed department workflow policies and procedures and made recommendations for improvement.

Education

Bachelor of Science - Accounting

Florida State University
Tallahassee, FL

Master of Business Administration (MBA) -

Nova Southeastern University
Fort Lauderdale, FL

Master of Accounting -

Nova Southeastern University
Fort Lauderdale, FL

Skills

  • Fund Strategy & Management
  • Investment Operations
  • Fund Administration
  • Team Leadership & Development
  • Third-Party Vendor and Subadviser Relationship Management
  • Product lifecycle management
  • Operational efficiency
  • Team leadership
  • Cross-functional collaboration
  • Stakeholder engagement
  • Operational excellence
  • Decision-making
  • Vendor sourcing and negotiations
  • Process improvement
  • Quality assurance
  • Risk mitigation
  • Organizational restructuring

Affiliations

  • Founder, Harlem Girls Cheer Non-profit
  • Florida State University, Alumni Board of Directors (Audit & Finance, Clubs & Networks and Scholarship Committees)
  • Florida State University, College of Business, Board of Governors

Previous Name

Colleen Dean Miller

Timeline

President, Edward Jones Money Market Fund and the Bridge Builder Trust; Director of Proprietary Funds Strategy & Management

Edward Jones
03.2022 - Current

Senior Vice President, Deputy Treasurer

PIMCO
05.2013 - 03.2022

Vice President, Investment Administration

Cohen & Steers
08.2006 - 05.2013

Supervisor, Mutual Fund Operations

Franklin Templeton Investments
07.2002 - 08.2006

Bachelor of Science - Accounting

Florida State University

Master of Business Administration (MBA) -

Nova Southeastern University

Master of Accounting -

Nova Southeastern University

Similar Profiles

CREATE PROFILE
Colleen Dean