Frank J. Maresca | Curriculum Vitae
Comprehensive executive career history, SEC Form N-2 proxy bio statements, board directorship track record, and civic leadership.
Download Contact vCard (.vcf)Executive Resume & Leadership Record
35+ Years of Leadership in SEC-Registered Funds & Financial Services
Listen to Frank Maresca's Executive Summary
Briefing covering candidacy for board positions and senior consultancy opportunities across designated disciplines.
Complete Professional Resume & Bio
Full unabridged executive CV formatted for SEC Nominating Committees.
Independent Director & Audit Committee Chair
NYSE-Listed Closed-End Investment Funds (CLM & CRF)
- Serve as Independent Director and Chair of the Audit Committee for $3B+ SEC-registered, NYSE-listed closed-end fund complex.
- Designated as the board's SEC Audit Committee Financial Expert under Sarbanes-Oxley Section 407, overseeing internal controls, GAAP accounting, independent audit engagements, and financial statement integrity.
- Lead independent board oversight of annual 15(c) investment advisory contract renewals, fee structures, and expense caps.
- Oversee board implementation of SEC Rule 2a-5 valuation frameworks, pricing designee reporting, and liquidity risk programs.
- Successfully initiated an audit firm search resulting in a seamless external PCAOB audit firm transition.
Senior Advisor & Vice President - Mutual Fund Business Development
Broadridge Financial Solutions, Inc. (NYSE: BR)
- Senior Advisor (2022–2025) and VP (2018–2022). Chaired US Fund Regulatory Working Group and advised asset managers on SEC rulemaking.
- Developed industry templates for SEC Tailored Shareholder Reports (TSR), driving operational efficiency and cost reductions across client complexes.
- Partnered with fund board trustees, CCOs, and transfer agents to streamline shareholder communications and cost controls.
Executive Vice President / Head of Fund Administration
Equiniti Fund Solutions & Ultimus Fund Solutions
- Created and headed the fund administration division. Served as Principal Financial Officer (PFO) and Treasurer for registered closed-end funds and Business Development Companies (BDCs) holding illiquid investments.
- Directed closed-end fund servicing, custody oversight, and transfer agency operations across multiple funds under administration.
Executive Director - Global Equities Division
JPMorgan Chase & Co.
- Led executive operational and financial servicing initiatives supporting institutional equity investment platforms and prime brokerage services.
President, Chief Executive Officer & Senior Managing Director
Bear Stearns Funds Management Inc. / Bear, Stearns & Co. Inc.
- Served as Chief Executive Officer of Bear Stearns Funds Management, overseeing multi-billion dollar proprietary registered mutual fund operations.
- Engaged directly with independent trustees on quarterly financial reporting, audit findings, SEC regulatory filings, and transfer agency operations.
Chief Financial Officer & First Vice President - Director of Fund Administration
Mitchell Hutchins Asset Management Inc. (PaineWebber Group)
- Served as Chief Financial Officer for the mutual fund complex and Principal Financial Officer / Treasurer for PaineWebber Funds and various administration entities.
Assistant Vice President - Asset Management Group
Deutsche Bank Capital Corp.
- Served as Treasurer and Assistant Secretary for proprietary mutual fund complexes and registered closed-end funds.
Audit Senior - Investment Company Specialist
PricewaterhouseCoopers (PwC)
- Conducted statutory audits for SEC-registered investment companies, mutual funds, and financial institutions as a practice specialist.
Community and Non-Profit Service
Bringing Governance Experience to Mission-Driven Organizations
Supporting mission-driven organizations with disciplined financial oversight, collaborative board service, and thoughtfully designed AI-assisted workflows.
HeartShare Education Center
Governance and financial leadership for specialized educational programs serving children with autism spectrum disorders and special needs.
Young Musicians of Westchester
Financial reporting, Form 990 compliance, donor fund accounting, and board budget approvals for an educational arts non-profit.
Long Island Artificial Reef Society
Financial oversight and board treasury leadership for marine habitat creation and artificial reef environmental projects.
Start a Confidential Conversation
Frank welcomes confidential conversations regarding selective Independent Director, Audit Committee Chair, Advisory Board, and senior consulting opportunities with registered investment funds, BDCs, and asset management platforms.