Rich Babineau

About Rich Babineau

With over 30 years of experience in the financial services industry, Rich is a seasoned leader and innovator in shareholder communications and proxy event management. Most recently, Rich was the Director of Asset Management Solutions at Mediant, a BetaNXT business, where he worked with asset managers to deliver the best investor communications solutions to the financial services industry, leveraging his extensive knowledge of the proxy and regulatory communications lifecycle.Rich has a proven track record of designing and executing successful solicitation strategies for corporate issuers, mutual funds, REITs, and insurance companies, supporting their long-term corporate governance goals and enhancing their shareholder engagement. He has also held leadership roles in client services, operations, and product management for leading proxy and legal service providers, including Georgeson LLC and Broadridge Financial Solutions. Rich is an active member of several industry associations and a graduate of the prestigious Securities Industry Institute, sponsored by SIFMA and The Wharton School at the University of Pennsylvania. He also holds a certificate from the Corporate Governance Bootcamp Program at New York University’s School of Law.

Experience

1. Senior Vice President, Head of Fund Solutions

   Alliance Advisors

   Jan 2026 — Present · Boston, MA, US

   At Alliance Advisors, our focus is on redefining shareholder communications through innovative technology-driven solutions. My role as Senior Vice President and Head of Investment Company Proxy Services is centered on crafting personalized strategies that resonate with Mutual, ETF, and Non-Listed Fund shareholders across diverse communication channels, maximizing engagement and compliance outcomes. Our clients benefit from our commitment to leveraging smart technology and a deep understanding of the communications lifecycle. Our solicitation strategies not only support our clients\' objectives but also enhance their relationships with retail shareholders. Our team\'s dedication to excellence and client success is reflected in the seamless application of our solutions, ensuring that every investor touchpoint is impactful.

Education

• Northeastern University

  Organizational Leadership

  2011 — 2015

Skills

• Mutual Funds
• Risk Management
• Portfolio Management
• Mergers
• Strategy
• Project Management
• Strategic Planning
• Asset Managment
• Vendor Management
• Call Center
• Executive Management
• Asset Management
• Operations Management
• Process Improvement
• Equities
• Business Process Improvement
• Sdlc
• Financial Analysis
• Investments
• Finra
• Program Management
• Finance
• Mergers & Acquisitions
• Investor Relations
• Alternative Investments
• Leadership
• Wealth Management
• Securities
• Back Office
• Relationship Management
• Product Management
• Series 63
• Fixed Income
• Series 6
• Requirements Gathering
• Series 24
• Capital Markets
• Series 7
• Team Building
• Management