LOCKE CAREERS INC. More than 20 years of financial sector relationships

The commitment and flexibility of a boutique

Locke Careers Inc.205 E. 42nd Street, 20th Floor

New York, New York 10017212.430.2025 | support@lockecareers.com

www.lockecareers.com

AboutLocke Careers

An executive search boutique, invested in its clients,

committed to excellence, transparency, and relationships

AboutLocke Careers”Our goal is to provide our clients with top talent who will not just add immediate value but will contribute to the long-term success of the firm. In order to achieve this, Locke Careers thoroughly screens our candidates using a performance-based hiring model. By looking at a candidate’s previous track record and discussing his/her personal goals, we can determine if the placement will be beneficial for both the candidate and client. We can improve our clients’ ROI by identifying the candidates who will not be a good long-term fit for the company. This ultimately saves valuable time as well as the financial costs associated with replacing under-performing employees.”

-Sean Locke, President

x Sean Locke, President, offers more than 15 years of financial sector search expertise

x 5 search professionals, 30 years of search experience

x Deep investment in our clients’ success

x Respect for unique needs and internal processes

x Industry-beating retention rates

x Flexible arrangements, including flat fees

x Disciplined search process

x Continuity and growth via close relationships

Sean Locke

AboutLocke Careers

Employeeretentionrates

x Locke Careersx 2015 6 mo. retention – 89.1%*x 2015 12 mo. retention – 86.9%x 2016 6 mo. retention – 94.7%x 2016 12 mo. retention – 93.9%

x 2015 12 mo. industry avg. –81.4%**

x Cost savings via better retention

* Our retention data covers all permanent placements, regardless of search or fee structure

** Industry data is from the Compdata Surveys & Consulting 2015 ”Banking and Finance” report

John Carter, Sean Locke –Front office

Tom Hudson –Quantitative analytics and risk management

Brendan Reynolds –Finance, audit, tax, and compliance

Alyssa Orlansky –Human resources and executive support

AboutLocke Careers

Key practice areas

Front officerecruitment

x Front office placements include:x M&A advisoryx Corporate financex Researchx Quantitative analyticsx Portfolio managementx Tradingx Institutional salesx Marketing and investor relationsx CIO / executive placements

Front officerecruitment

x 15+ years of capital markets experience

x Directs search process execution, firm-wide

x Team lead on M&A, equity, debt, restructuring, institutional research, sales, and trading mandates

x Long-term relationships with business heads and executives from both global and boutique organizations in banking, asset management, and alternative investing

x 212.430.2025 (w) | slocke@lockecareers.comSean Locke President

Front officerecruitment

x TMT equities Portfolio Manager, AIA Group; Morgan Stanley M&A analyst, TMT group

x Alternative investments specialist; team lead for hedge fund, private equity, activist, as well as many long-only searches; core member of capital markets search practice

x Passionate about growth through human capital investment

x 212.430.2029 (w) | john@lockecareers.com

x Bloomberg IB: jcarter154@bloomberg.netJohn CarterExecutive Search Consultant

Front officerecruitment

x Quantitative analytics specialist; core member of capital markets search practice

x Team lead on quantitative investment, research, strategy, and trading hires

x More than 30 placements in 2 years of work

x Passionate about the financial sector’s moving parts from a talent perspective; matching top-talent and opportunity

x 212.430.2026 (w) | tom@lockecareers.comTom HudsonExecutive Search Consultant

Ourservicearrangements

As a boutique, we offer flexible arrangements to fit your needs

Our service arrangements

x Retained searches

x Contingency searches

x Hybrid exclusive or mutually committed searches

x Flat fee structures

As a part of our relationship, our clients also enjoy frequent informal consultations including salary and market data provisions, recruitment process coaching, and expert introductions. More intensive research, mapping, onsite recruitment, and specialty search arrangements can be tailored to fit your needs.

Oursearchprocess

x Understand your organization, key leaders, and selling points

x Develop a person specification

x Research & identify top targets

x Screen & filter

x Present top candidates

x Interview, review, & select

x Offer & close

LOCKE CAREERS INC. More than 20 years of financial sector relationships

The commitment and flexibility of a boutique

General inquiriesSean Locke | President

212.430.2025 | slocke@lockecareers.comwww.lockecareers.com

Front officeJohn Carter

212.430.2029 | john@lockecareers.com

Quantitative analytics and risk management

Tom Hudson212.430.2026 | tom@lockecareers.com

Audit, finance, and compliance

Brendan Reynolds212.430.2028 | brendan@lockecareers.com

Human resources and executive support

Alyssa Orlansky212.430.2027 | alyssa@lockecareers.com