Randall Lawson
Okauchee,WI
Summary
I am a finance professional with broad experience in the investment services industry. This experience includes exposure to investment advisory services and operations, mutual fund operations and administration, trust administration, and investment compliance. I am seeking a position that will utilize the knowledge I have gained working in these different roles during my career.
Overview
44
44
years of professional experience
1
1
Certification
Work History
Investment Advisor
Godfrey & Kahn, S.C.
Milwaukee, WI
01.2004 - Current
- Manage Subsidiary - Trustee Advisory Services
- Develop customized asset allocation models for clients.
- Research, analyze and select mutual funds, ETFs and investment managers for asset allocation models.
- Perform continual due diligence on selected mutual funds, ETFs and investment managers.
- Act as compliance officer and manage regular regulatory examinations.
Trust Investment Liasion
Godfrey & Kahn, S.C.
Milwaukee, WI
01.2004 - Current
- Assist attorneys acting as trustee with investment reviews and investment-related questions and concerns.
- Review investment management agreements and partnership agreements presented to trustees within the firm
and provide comments and suggestions. - Reconcile trust accounts, assist with day-to-day operations and perform project work for trust administration
group.
Compliance/Financial Services Consultant
Godfrey & Kahn, S.C
Waukesha, WI
11.2000 - 12.2003
- Worked for Ideassociates, LLC, a joint venture with Godfrey & Kahn, S.C.
- Perform compliance audits for registered investment advisor firms and broker/dealers.
- Assist in the start-up and formulation of financial projections for 1940 Act mutual funds and/or registered investment advisor firms and broker/dealers.
- Create and analyze request-for-proposals for various mutual fund back office functions including fund administration, fund accounting, transfer agent, custodian and distributor.
Business Development Analyst
Sunstone Financial Group
Milwaukee, WI
01.1999 - 11.2000
- Analyzed the marketplace for mutual fund back office services.
- Performed competitive analysis of peers in marketplace.
- Create financial projections for mutual fund start-ups.
- Coordinate responses for requests for proposals from potential clients.
Mutual Fund Administration Analyst
Sunstone Financial Group
Milwaukee, WI
05.1996 - 01.1999
- Prepare materials for fund board meetings.
- Prepare financial statements, statements of additional information and prospectuses for mutual fund clients.
- Calculate accruals for income and expenses for mutual fund portfolios.
Education
BBA - Finance
University of Wisconsin - Oshkosh
Oshkosh, WISkills
- Manager & Mutual Fund Due Diligence
- Develop Asset Allocation Models
- Investment Policy Development
- Account Reconciliation
- Compliance Reviews & Audits
- Financial Services Operations
- Auditing of Operational Processes
- Trade Settlement & Processing
- Preparation of Fund Financial Statements & Reports
- Preparation of Materials for Fund Board Meetings
Certification
- Accredited Investment Fiduciary
- Series 65
- Series 6
Software
- Microsoft Office
- Morningstar Advisor WorkStation
- Investment Scorecard
- Infovisa - Maui Trust Accounting System
Timeline
Investment Advisor
Godfrey & Kahn, S.C.
01.2004 - Current
Trust Investment Liasion
Godfrey & Kahn, S.C.
01.2004 - Current
Compliance/Financial Services Consultant
Godfrey & Kahn, S.C
11.2000 - 12.2003
Business Development Analyst
Sunstone Financial Group
01.1999 - 11.2000
Mutual Fund Administration Analyst
Sunstone Financial Group
05.1996 - 01.1999
BBA - Finance
University of Wisconsin - Oshkosh
- Accredited Investment Fiduciary
- Series 65
- Series 6
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