Back Office Support

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Harbert Management Corporation's back office infrastructure supports the various investment teams with risk management, legal and compliance, investor relations and investor reporting services. These services are also available to assist portfolio companies where appropriate.

Sonja J. Keeton
Executive Vice President & Chief Financial Officer

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Ms. Keeton joined Harbert Corporation in 1990 and became its Director of Corporate Taxation and Assistant Controller in 1992. She continued to serve HMC in that role at the time of its inception in 1994. In 2004, Ms. Keeton became the Controller of HMC and in 2011 became its Senior Vice President and Chief Administrative Officer. She was named Executive Vice President and Chief Financial Officer, elected to the HMC Board of Directors and appointed to the Executive Committee in 2016. Ms. Keeton is a Certified Public Accountant who practiced with PricewaterhouseCoopers (formerly Coopers & Lybrand) prior to joining Harbert Corporation in 1990. There she practiced in internal controls with a focus on healthcare, banking and construction industries. She received her Bachelor of Arts degree in Accounting from the University of South Alabama in 1986.

John W. McCullough
Executive Vice President & General Counsel

John McCullough

John W. McCullough joined HMC in 2006 as a Vice President and Associate General Counsel, was appointed Senior Vice President and General Counsel effective March 9, 2009 and was elected to serve on the Board of Directors in 2014. He was named Executive Vice President and General Counsel and appointed to the Executive Committee of the Board of Directors in 2016. Before joining HMC, Mr. McCullough was a partner in the law firm of Balch & Bingham LLP and Associate General Counsel of a publicly traded client of that firm. Mr. McCullough is active in the community, currently serving as a member of the Board of Directors of the Economic Development Partnership of Alabama, the United Way of Central Alabama and a member of the Board of Trustees of McWane Science Center, a science museum and early learning center in Birmingham, Alabama. Mr. McCullough received a Bachelor of Arts in Economics from Washington and Lee University and received a law degree from the Cumberland School of Law of Samford University.

jmccullough@harbert.net

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Michael C. Bauder
Vice President & Chief Compliance Officer

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Mr. Bauder joined Harbert Management Corporation’s legal department in July 2006 as Vice President – Chief Compliance Officer and is responsible for ensuring that the firm’s policies and procedures are reasonably designed to prevent, detect and correct violations of applicable securities laws. Prior to joining HMC Mike served in a dual capacity as Chief Compliance Officer for Hancock Investment Services, and Horizon Advisers. With 20 years of industry experience Mike holds the NSCP Certified Securities Compliance Professional designation and series 7,4,24,63,65,53,27 licenses. Mike earned his BS in Economics from Florida Southern College in 1991.

Thomas M. Hicks
Vice President & Director of Risk Management

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Mr. Hicks joined HMC in 2004 and became Director of Risk Management in 2007. The Risk Management Department is responsible for monitoring and reporting risk exposures across HMC’s various investment strategies. The department includes 4 Directors, the Manager of Hedge Fund Investor Reporting, and hedge fund accountants.  The group oversees various risk management functions including valuation analysis, internal audit, hedge fund accounting, and risk reporting. There are 3 CPAs and 2 CFA charter holders within the department. Prior to joining Harbert, Mr. Hicks was manager of the Munich back office accounting team at State Street IMS West and previously worked for a private investment firm. He earned a Bachelor of Science in Accounting and Finance as well as a Masters in Business Administration from the University of Alabama, Birmingham. Mr. Hicks is a Chartered Financial Analyst and a member of the CFA Institute and CFA Society of Alabama.  Mr. Hicks has also earned the PRM designation from The Professional Risk Managers’ International Association.

thicks@harbert.net

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Jerry D. Phillips II
Vice President & Director of Taxation

JPhillips_headshot_1Mr. Phillips joined Harbert Management Corporation in October 2013 and serves as Vice President and Director of Taxation. He is responsible for the design and implementation of tax policy and strategies for the firm and its sponsored investment entities, as well as tax planning, compliance and management. Prior to joining HMC, Mr. Phillips was a partner in a public accounting firm. He has more than 18 years of tax experience and is a Certified Public Accountant. Mr. Phillips holds a BS in Accounting and a Master of Taxation degree, both from the University of Alabama.

 

jphillips@harbert.net

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Raymond J. Harbert Jr.
Vice President of Finance and Administration

Raymond J. Harbert Jr.

Mr. Harbert joined HMC in 2010 as an Associate in Private Equity rising to Senior Associate in 2013. In August 2014, Mr. Harbert transitioned to the back office in a finance and administrative role while still managing some of the remaining private equity investments. Prior to joining HMC, he was an Associate in the Transaction Services Strategy Group of PricewaterhouseCoopers, focusing on buy side commercial due diligence. He holds a Masters of Business Administration and a BS in Finance, both from Wake Forest University where he was a letter winner on the track team.

Mr. Harbert currently serves on the Board of Directors of Precision Alloys Corporation, CES Holding Company, Inc. and FDS Avionics Corporation. He also serves on the Board of the HERO Foundation (Harbert Employees Reaching Out), the Athletic Advisory Council of the Deacon Club for Wake Forest University and the Advisory Board of Oakworth Capital Bank.

rjharbert@harbert.net

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Jeffrey B. Liles
Chief Information Officer

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Mr. Liles joined Harbert Management Corporation in February of 2011. He is responsible for global technology initiatives at HMC, including network Infrastructure, business continuity and disaster recovery, software support, mobility management, and telecommunications. Mr. Liles is an experienced Senior Information Technology Executive with over 27 years of corporate expertise, involving both domestic and international companies. Throughout his career, he has held numerous key management positions focusing on core computing competencies, process engineering, data architecture, security, and network operations within the manufacturing, logistics, and financial industries. Mr. Liles earned a BS degree in Health Care Management from the University of Alabama and a BS degree in Computer Science from Jacksonville State University.

jliles@harbert.net

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