Research/Investment Analyst

Research/Investment Analyst
San Francisco
US Citizen

Ten years of investment experience as a fundamental analyst, portfolio manager, and pension plan administrator. Excel at identifying macro and industry trends to augment tactical portfolio decisions. Three years of formal credit and internal audit training at regional banks. Proficient in portfolio optimization, risk analysis, asset allocation, and return attribution software.


Sr. Research Analyst, Financial Services 2/2009 - 11/2011

- Selected and implemented strategies for a $12B discretionary wrap product. Managed core portfolios across six risk-based models to ensure prudent exposure to style, capitalization, and volatility factors. Dynamically adjusted the mix of investment advisors with complementary traits to achieve less-correlated excess returns.
- Responsible for covering 35 funds and managed accounts: manager search, RFP, onsite due diligence, initiation and ongoing commentaries, asset class review, and addition/removal recommendations.

Investment Manager, Treasury, Consumer Goods 2/2007 - 2/2009
- Conducted quarterly Investment Committee review of defined benefits and 401(k) plans performance attribution, asset allocation, and fiduciary topics. Ensured compliance with investment policies, control procedures, and the Pension Protection Act. Managed deferred compensation plan to align assets and notional liabilities.
- Led two pension plan studies in conjunction with actuaries and consultants to evaluate funding shortfall risks, contribution volatility, and the impact on corporate balance sheet/P&L under a liability buyout scenario. Validated complex models and managed extensive cross-functional coordination. Results led to the Board's approval of a $300 million liability driven investing mandate.
- Continually improved 401(k) menu options for 5,000+ participants, involving over $70 million assets mapping, trust documents amendment, and educational seminars. Supported company foundations in transitioning asset allocation targets and alternative investments. Served as the liaison with Big-four firms to resolve audit issues.
Sr. Internal Auditor, Financial Services 2006 - 2007
- Conducted periodic pension audits for a $30B County plan in the investment and member benefits areas. Evaluated operational risks in the due diligence process, performance reporting, and fraud prevention controls.

-- Overseas relocation -- 2005

Portfolio Manager, Financial Services 2000- 12/2004
- Managed $3B pension and institutional funds across a variety of equity strategies, namely large-cap value, small-cap, EAFE index, emerging markets, and tax-managed accounts. Performed financial modeling, sector-neutral optimization and rebalancing, return attribution, and credit events due diligence. Deployed cost-effective trading methods to reduce liquidity impact and return volatility.
- Performed valuation and risk contribution analysis to enhance sub-strategy precision as part of the tactical allocation and active alpha moves. Monitored asset classes mis-pricing with an emphasis on fundamental factors, such as alpha ranks, earnings quality, EPS revision, credit spreads, and real rate differentials.
- Established inaugural procedures and new custodian system access to improve merger arbitrage timing and group decision efficiency. Supervised two fund accountants to resolve unit value and trade settlement issues.

Credit Review Officer, Asset Quality Review, Financial Services 1997 - 2000

- Evaluated corporate credits and interest rate risks for a $5B loan portfolio consisting of borrowers in the retail, export-import, real estate, software, and highly leveraged film industries. Monitored impaired loans and workouts in terms of collateral valuation, guarantee reinforcement, and bankruptcy proceedings.
- Independently conducted economic research and industry commentary for bank-wide reserves allocation purpose. Applied VBA macros to identify risk profile migration by industry and loan size.
- Improved risk data analysis and monitoring procedures to support regulatory reporting. Collaborated with internal groups to identify operational risks and developed mitigating strategies to enhance control environments.

Credit Analyst, Financial Services 1996 - 1997
- Performed credit underwriting, documentation, and loan closing for asset-based revolving, SBA, and real estate loans. Reviewed collateral audits to assess trends in account receivable aging, dilution, and operating results. Participated in deal structuring for technology start-up borrowers, utilizing subordinated debts and warrants.


Chartered Financial Analyst (CFA)
Certified Internal Auditor (CIA)
Chartered Market Technician (CMT)
Financial Risk Manager (FRM)


MBA, Finance
Bachelor of Science, Chemical Engineering

Technical Skills:
Bloomberg, FactSet, BARRA Aegis, Morningstar Principia & Direct, Zephyr Style Advisor, Informa-PSN, Vestek, Portia, eVestment, Lipper, CMS, EDGAR, Word, Excel, PowerPoint, Access, Unix.