Investment Advisor Resume Samples

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EC
E Cormier
Effie
Cormier
6878 Gibson Estate
Phoenix
AZ
+1 (555) 323 5016
6878 Gibson Estate
Phoenix
AZ
Phone
p +1 (555) 323 5016
Experience Experience
12/2014 present
Boston, MA
Senior Investment Advisor
Boston, MA
Senior Investment Advisor
12/2014 present
Boston, MA
Senior Investment Advisor
12/2014 present
  • Assist RMs in developing equity sector strategies and investment ideas to suit individual client’s investment objective and risk tolerance
  • Develop regular contact and work closely with other analysts in the region and HQs
  • Work under the direct supervision of the Head of Equities, Asia
  • To be actively working with RMs especially HK RMs and meet their clients for fund solutions
  • To deliver prompt and accurate responses to RMs queries, as well provide a good follow up on recommendations
  • Team spirit, together with an independent and responsible way of working
  • At RM’s request, meet and service clients to enhance client relationship and assist with AUM acquisition
08/2010 11/2014
Los Angeles, CA
Investment Advisor
Los Angeles, CA
Investment Advisor
08/2010 11/2014
Los Angeles, CA
Investment Advisor
08/2010 11/2014
  • Working Hours: Monday to Friday, plus half day on alternate Saturdays
  • Identifying, developing and securing new client relationships through referrals from the Relationship Managers
  • Maintaining and developing client relationships and provide investment advice within the UK regulatory framework
  • Working closely with Investment Service Managers to provide an advice-led solution to existing clients
  • Providing Wealth Management and Investment Advice to NAB and JBWere clients
  • Supporting Relationship Managers in managing an existing client portfolio of External Asset Managers
  • Providing transaction services to clients, including taking, routing and confirming orders
01/2007 04/2010
Los Angeles, CA
Investment Advisor Assistant
Los Angeles, CA
Investment Advisor Assistant
01/2007 04/2010
Los Angeles, CA
Investment Advisor Assistant
01/2007 04/2010
  • Support all marketing and business development activities and assist in the development of investment plans and written proposals for prospects and clients
  • Deal directly with all clients, provide quotes and execute trading orders
  • Deal directly with clients, provide quotes and execute trading orders
  • Assist with development of center of influence connections
  • Work with suppliers for advertising / branding, and networking with dealers
  • Provide administrative services to the portfolio of clients
  • Assist Investment Advisors with processing and confirming client transactions
Education Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
California State University, Northridge
Bachelor’s Degree in Business
Skills Skills
  • You are sales-oriented, self-motivated/managed, disciplined and responsible with a strong work ethic
  • You have a talent for networking and enjoy seeking out new clients through referrals from professional advisors, working with community associations and asking for referrals from previously satisfied clients
  • Strong social and communication skills
  • You are self-assured, outgoing and have a strong determination to succeed
  • A strong understanding and passion for the Turkish market
  • Understanding the risks associated with financial planning; in particular, the relationship between customer attitudes to risk and the suitability of financial solutions recommended, and the ability to demonstrate integrity and adherence to compliance policies and procedures
  • An in-depth understanding and experience of the Financial Services Industry, particularly in the areas of regulated financial planning specialising in Investments, Pensions and Estates and Trusts
  • Solid skills and education in financial markets or economics (and you’re passionate about it)
  • Profiling skills
  • Demonstrates integrity: conducts all aspects of business in a professional manner to the highest level of ethical and regulatory standards
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1

Private Client Direct Investment Advisor Resume Examples & Samples

  • Conduct investment reviews with prospects and clients to determine or validate current investment objectives and prepare recommendations of appropriate investment products
  • Develop investment policy statements, advise on asset allocation and manage clients’ investment portfolio
  • Maintain current knowledge of all J.P. Morgan Private Bank products and strategies
  • Responsible for engaging in business development (to include prospecting, development of external and internal referral sources, use of personal and professional contacts) to deliver results
  • Initiate and close sales of complex investment products
  • Build and maintain excellent working relationships with internal partners and teammates
  • Adhere to internal and external policies and procedures regarding securities transactions and code of conduct
  • Extensive experience with and in-depth knowledge of fixed income, structured notes, equities and alternatives
  • Experience managing discretionary and brokerage relationships
  • Conduct operations within FINRA and other regulatory agency guidelines and requirements
  • Ability to communicate sophisticated investment strategies to all levels of clients and prospects
  • Demonstrated understanding of wealth management including, but not limited to: credit, deposits, trusts and financial planning
2

Investment Advisor, RBC Dominion Securities Resume Examples & Samples

  • Must have entrepreneurial spirit in building a book of clients through networking, cold calling, prospecting, referrals, seminars etc
  • Strong communication and presentation skills in both French and English
  • Must be results-focused
  • Mandatory: Canadian Securities Course and Conduct & Practices Handbook, both through the CSI
  • LI-VM1
3

Investment Advisor Resume Examples & Samples

  • Preferred: Proven success in sales and business development, regardless of industry/discipline
  • Preferred: Completion of Conduct & Practices Handbook, PFP, CIM
  • LI-CC1
4

Investment Advisor Resume Examples & Samples

  • Mandatory: Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH), both through the Canadian Securities Institute (CSI)
  • Preferred: Completion of PFP, CIM
  • Support to help you address your clients’ financial, retirement, tax, estate planning and charitable legacy needs
5

Investment Advisor Assistant Contract Resume Examples & Samples

  • Ensure clients’ accurate and timely completion of all necessary documentation and forward to appropriate Branch contact
  • Assist Investment Advisor in preparing for client meetings; schedule meetings - Involvement in client appreciation events
  • Utilize contact management system for daily task management - Print reports and distribute them accordingly
  • Maintain current knowledge of client accounts by reviewing daily activity online and on applicable reports
  • Conduct various administrative functions as required including the review of incoming mail, answering telephone calls
  • Monitor all pending plan transfers to ensure completion on a timely basis
  • Assist in preparing mailings such as seminars, newsletters, and information packages
  • Minimum high school diploma/GED
  • Post secondary education in office management, or related field is an asset –but not required
  • Previously demonstrated ability to execute high attention to detail
  • Demonstrated ability to manage changing priorities and proven organizational skills
  • Demonstrated ability to maintain a high level of confidentiality
  • Demonstrated professionalism and work ethic
  • Proven ability to contribute to and work well within a team environment
  • Intermediate experience with Word, and strong Excel skills
  • All other computer applications – must have the aptitude and ability to learn as required
6

Investment Advisor Team Head CPB Alpha Group Resume Examples & Samples

  • Delivering ideas and investment strategy recommendations as well as providing the highest level of tactical advice and execution to UHNW Citi Private Bank trading clients directly and indirectly
  • Develop and constantly update market intelligence in order to meet/exceed external standards of best practice in order to introduce ideas through CIRA and CPB research functions
  • Maintain rigorous risk management approach with clients on their exposures in line with client risk tolerances
  • Responsible for increasing client penetration across the entirety of the multi-asset product set
  • Extensive experience in sales and trading of one asset class required
  • Fluent spoken and written English – Other language preferable
  • Good initiative & Creativity – ability to present alternatives and construct new ideas
  • Ability to work in a changing, project based, team environment
7

Investment Advisor Switzerland Resume Examples & Samples

  • Following developments in the financial markets to maintain an understanding of both current and anticipated trends and how they might affect UBS investment policies and strategies
  • Providing proactive investment advice to clients and client advisors, based on the UBS investment policy and supporting them in the implementation of appropriate investment products and strategies that maximize the performance of their portfolios, which are consistent with the clients' investment objectives and profile
  • The execution, confirmation and reporting of client trades
8

APA Investment Advisor Resume Examples & Samples

  • Provides pro-active portfolio investment advice across asset classes directly to Ultra-High-Net-Worth client segment
  • Provides advice based on UBS investment views that aim to maximize the client portfolio performance consistent with risk & return objectives
  • Monitors client portfolios on a regular basis in close co-operation with the client (with regular reviews of client risk profile and investment objectives)
  • Pro-actively contacts clients with meaningful portfolio updates and provides investment recommendations within a portfolio context and a disciplined / risk-controlled framework
  • Responsible for timely and accurate execution, confirmation and supervision of orders given by the client
  • Follows developments in the financial markets to maintain an understanding of both current and anticipated trends across relevant markets and asset classes
  • 10 years of experience in an advisory/portfolio management role, preferably within Private Wealth Management dealing with High-Net-Worth/Ultra-High-Net-Worth clients
  • Broad and deep understanding of financial instruments & markets as a whole (CFA, CFP, CAIA, MBA, FRM, CMT certifications are a definite plus)
  • Experience managing & advising on multi-asset-class private client portfolios throughout a cycle (preferably through several cycles) with sound risk management principles
  • Good knowledge of derivatives & derivative strategies and their use in structured products
  • Excellent communication, presentation negotiation skills
  • Creativity / flexibility to adapt approach and solutions independently in complex environments with a highly challenging client group
  • Excellent people skills, high-impact and confident presence with strong sales skills
  • Client-focused, results-oriented team player with highest standards of ethical and professional behaviour
9

Senior Investment Advisor Resume Examples & Samples

  • 10 years of experience in a Portfolio Management / Advisory role, preferably within Private Wealth Management dealing with a High-Net-Worth / Ultra-High-Net-Worth client base
  • Broad and deep understanding of financial instruments markets as a whole (CFA, CFP, CAIA, MBA, FRM, CMT certifications are a definite plus)
  • Extensive experience managing advising on multi-asset-class private client portfolios throughout a cycle (preferably through several cycles)
  • Solid knowledge of derivatives derivative strategies and their use in structured products
  • Ability to deliver clear, meaningful and well-structured information and complex messages convincingly and concisely
  • Excellent communication, presentation negotiation skills in English (Mandarin/Cantonese are a definite plus)
10

Investment Advisor Trainees Resume Examples & Samples

  • Strong analytical skills, excellent communication, organization, time management, and listening skills
  • Strong entrepreneurial spirit and work ethic
  • Enjoy freedom and flexibility to achieve financial success
  • Extremely client-centric Education/Experience
  • A professional designation (CA, CFP, LLB, CIM, CFA) would be an asset, but not required
  • Post-Secondary Degree/Certificate
  • Proven business development and sales experience
  • Previous entrepreneurial experience is desired
11

Investment Advisor Resume Examples & Samples

  • Achieve sales and business targets, including client acquisition and AUM building, by promoting company’s investment products to local and overseas high net worth clients
  • Deliver unparalleled investment advisory services in person, by phone and other means of correspondence
  • Lead, participate and support sales activities through on-site promotion, exhibition, client seminars and business related events and projects
  • Deliver prominent leadership skills by provide training and coaching to junior level colleagues
  • Handle client's enquiries in a professional manner
  • Working Hours: Monday to Friday, plus half day on alternate Saturdays
  • Degree holder, preferably in Finance, Economics or related subjects
  • Professional qualifications such as CFA would be an advantage
  • At least 8 years of solid sales experience in Financial industry with proven track records
  • Good analytical skills and can demonstrate a comprehensive understanding of financial markets and investment projects (especially in Funds)
  • Professional, customer-oriented, self motivated and a team-player
  • Fluent in both written and verbal English and Caontese, and an ability to articulate information, ideas and solutions to clients. Fluency in Mandarin is highly preferred
  • Candidate with less experience will be considered as Analyst or Associate
12

Associate Investment Advisor Resume Examples & Samples

  • Current industry experience with advising and making recommendations on client investment portfolios
  • Proven ability to deliver a high level of service
  • Detail-oriented and highly organized
  • Proven ability to work in fast-paced, dynamic environment
  • Proficient MS Office Suite
13

Investment Advisor Resume Examples & Samples

  • You are sales-oriented, self-motivated/managed, disciplined and responsible with a strong work ethic
  • You have well-developed listening skills and an ability to interpret client needs
  • You have a talent for networking and enjoy seeking out new clients through referrals from professional advisors, working with community associations and asking for referrals from previously satisfied clients
  • You can foster relationships with other RBC partners (banking, insurance, capital markets) to bring the best of RBC to your clients
  • You are self-assured, outgoing and have a strong determination to succeed
  • A Bachelors degree in international finance, economics or similar
  • Must have a minimum of 8 years experience in a senior and relevant investment position managing a large book of international clients
  • Excellent communication, administration and interpersonal skills are required to excel in this area
  • Must be highly proficient to advanced levels in Bloomberg & Microsoft Office – Word, Excel, PowerPoint and Outlook
  • French or German language skills is a definite asset, as the individual will be expected to liaise with internal partners and clients globally
14

Investment Advisor Resume Examples & Samples

  • Minimum 7 years’ sales or advising experience in financial industry i.e. wealth management advising for High Net Worth Clients, SME corporate relationship manager, Asset Management direct sales etc
  • College graduate and above
  • Qualifications on Trust Personnel, FX Business operations personnel and Wealth Management Personnel are required. CFA and CPF qualifications are preferred
15

Investment Advisor Compliance AVP Resume Examples & Samples

  • 5-7 years buy-side compliance
  • Must know the 1940 Act and an order management system: Sentinel, Charles River, Bloomberg or a similar system
  • Equity and Fixed Income knowledge is also, very important
  • Attend committee meetings and work with senior level business managers to integrate investment
16

Investment Advisor Associate Resume Examples & Samples

  • Canadian Securities Course, Conduct & Practices Handbook Course, Derivatives Fundamentals Course
  • Excellent command of the English language and ability to liaise effectively with a diverse group of local and international clientele
  • Strong telephone manner and superior customer service track record
  • Wealth Management Essentials
  • Spanish or Portuguese language skills preferable
17

Investment Advisor Resume Examples & Samples

  • Established career in Wealth Management
  • Will focus on creating optimal solutions tailored to client needs in the context of prevailing market conditions. You will ensure that each solution is suitable based on client investment objectives, tolerance to risk, financial and personal circumstances
  • Success will be mostly measured by revenue generated, return on assets and client satisfaction with their investments
  • The IA will maintain daily proactive contact with the clients and have periodic face-to-face meetings with them to review performance of their portfolios, discuss any investment proposals as well as any changes to clients' investment objectives and risk tolerance
18

Investment Advisor Resume Examples & Samples

  • Generally 4+ years related experience in financial services industry
  • Demonstrated technical investment expertise
  • Leadership and relationship management skills
  • Must have solid understanding of financial markets
19

Senior Investment Advisor Resume Examples & Samples

  • Expertise with regard to investment products including alternative investments and non proprietary funds
  • Superior Technical Investment expertise
  • Presentation and Salesmanship skills
  • Must be able to effectively communicate at all levels, internally and externally
  • Must be able to listen and interpret, to gather objective information, to negotiate, respond or inspire at all levels of interaction
  • CFA, CFP or other professional certification preferred
20

Investment Advisor Assistant, Wood Gundy Resume Examples & Samples

  • Successful candidates must exhibit CIBC’s values of trust, team work, and accountability
  • Must have successfully completed the Canadian Securities Course (CSC) and the Conduct Practices Handbook (CPH)
  • Must be currently registered or hold an Investment Representative status
  • Must have previous experience within the financial industry
  • Must have basic understanding of investment portfolios and current knowledge of daily market activities
  • Should have working knowledge of various quotation equipment and computer software including word processing, spreadsheet and industry specific software
  • Should have organizational and administrative skills required to perform activities with varying degrees of priority
21

AFA Investment Advisor Resume Examples & Samples

  • Receive inbound calls from retirement plan participants looking for assistance with financial planning and investment advisory services
  • Explain the investment services available to inbound callers with the goal to direct them to the correct service
  • Interview individuals to gather required information, review planning suggestions, and deliver the financial plan to the individual
  • Provide financial education related to various retirement plan topics
  • Make warm outbound calls to customers who have expressed interest in obtaining assistance with the creation of a financial plan or our advisory programs
  • Deliver in-person financial workshops to groups of 50 or less individuals
  • Explain employer-based retirement plan requirements and basic IRS regulations related to 401(k) transactions to retirement plan participants
  • Interface with the Benefits Center Customer Service teams as necessary to ensure a seamless customer experience (e.g., educating CSAs on Advisory products and services, reciprocal sharing of best practices, identifying techniques for improving referrals)
  • Interacting with customers with account questions; update account information as needed; respond to customer inquiries on related issues; troubleshoot basic technical problems; provide product and service literature upon request
  • Responsible for participating in the process of setting up new accounts and maintaining accounts for customers
  • Accurately recording account openings and other transactions in our record keeping database
  • Undergraduate degree and minimum of 5 years financial industry experience
  • Experience in delivering financial planning and investment advisory services required
  • Experience in dealing with phone-based Customer Service, Sales and/or Marketing experience preferred
  • Strong rapport building and interpersonal skills are necessary
  • Ability to educate callers on complex retirement and investment concepts is necessary
  • Utilize conceptual thinking to identify patterns, apply concepts and clarify complex information
  • Demonstrate sustained confidence and resilience during challenging interactions
  • Actively listen to customers to understand both articulated and unarticulated needs
  • Ability to ask relevant probing questions to better assess customer needs
  • Use data to persuade and influence customers to objectively guide them
  • FINRA 65 or 66 or able to obtain within 90 days of employment
  • Certified Financial Planner or Chartered Retirement Plan Consultant designation preferred
  • Good presentation skills required
22

Investment Advisor Resume Examples & Samples

  • Ensuring clients information is accurate and up to date
  • Remaining up to date with all the regulatory rules and trading activities as it relates to client accounts
  • Maintaining client files and information on the appropriate systems
  • Resolving issues and effecting client transactions expeditiously and accurately, escalating issues to Manager when appropriate
  • Issuing instructions for client withdrawals, deposits, and transfers according to client or Advisor instructions
  • Understanding the required documentation for all client account types
  • Meeting or exceeding sales targets
  • Identifying opportunities to gather additional assets and/or increase revenue within the existing client base (i.e. referrals, consolidation of assets, insurance, etc…)
  • Retaining key clients by effectively communicating the National Branch value proposition
  • Actively sharing knowledge and experience to enhance the development of all team members
  • Minimum 3 to 5 years’ experience as an Associate Advisor or Investment Advisor
  • In depth knowledge of mutual funds, equities and fixed income securities
  • Working knowledge of asset allocation and retirement planning sufficient to meet the needs of clients and to compete for the business within the current market
23

Service Desk Investment Advisor Resume Examples & Samples

  • Ongoing review of individual client portfolios
  • Ongoing discussions with clients about finding the “home of best fit”
  • Continual tracking and reporting of client status & results to DS and RBFG group managers
  • Ensure all documentation is continually updated
  • Ensured client inquiries and problems are responded to in a timely manner, and that all activity is recorded in a contact management system (ClientLink)
  • Bi-weekly tracking and follow-up with RB DS Managers
  • Other duties as assigned, i.e., transitioning of competitive recruits, one-off projects
  • Communicate any compliance related issues to RBCDS Managers
  • Dealing primarily with accounts/ households with assets under $50,000 and revenue under $400
  • Will be required to attend Rookie Training at Regional Managers Discretion
  • Knowledge of Action Direct, DS and RBFG investment products, services and fees
  • Knowledge of the firm referral, operational and compliance practices and procedures
  • Have proficiency with PC technology and related software
  • Must be fully licensable
  • Self starter and work with minimal supervision
24

Investment Advisor Resume Examples & Samples

  • Following developments in the financial markets to maintain an understanding of both current and anticipated trends
  • Providing proactive investment advice to clients and client advisors, based on the UBS house view, and supporting them in the implementation of appropriate investment products and strategies that maximize the performance of their portfolios, which are consistent with the clients' investment objectives and profile
  • The ongoing monitoring of client portfolios
  • Maintaining up-to-date client records and supporting documentation to ensure the adherence to agreed investment mandate objectives, compliance requirements and trading procedures
25

Financial Advisor Ii / Investment Advisor Resume Examples & Samples

  • Series 7 Financial Industry Regulatory Authority (FINRA) Registered Representative and 63 State licenses, Life, Accident & Health Insurance license
  • Securities sales experience requiring high levels of outside business development skills
  • General understanding
26

Investment Advisor Resume Examples & Samples

  • A recognized Investment related qualification such as the Canadian Securities Course, Series 7 or equivalent
  • Must have proven experience in a senior and relevant Investment position
  • The ability to speak multiple languages is a definite asset, as the individual will be expected to liaise with internal partners and clients globally
  • Must be proficient in Microsoft Office – Word, Excel, PowerPoint and Outlook
27

Investment Advisor Resume Examples & Samples

  • Bachelor’s degree in finance, economics or similar
  • Must have a minimum of 8-10 years experience in a senior and relevant Investment position
  • The ideal candidate will be fluent in French and/or German
  • Have an existing network of relevant contacts and proven business development skills with the ability to formulate complex business plans have an existing network of relevant contacts and proven business development skills with the ability to formulate complex business plans
28

Senior Private Client Investment Advisor Resume Examples & Samples

  • Collaborate with Private Client Advisors or Trust Advisors to set asset allocation strategy for clients & document investment objectives
  • Implements investment objectives for an assigned book of relationships or in support of PCA team
  • Provides necessary support & information to clients, Private Client Advisors and Trust Advisors as well as others for all corporate investment products
  • Direct external and internal client contact at all levels
  • Meets with clients on a regular basis to review their portfolio & asset allocation strategy
  • Prepares & delivers client investment reviews
  • Participates with PCA’s in the sales effort making presentations to clients/prospects and in external seminars
  • Serves as a training resource for new Investment Experts, PCA’s and Trust Advisors
  • May participate in the design and implementation of performance appraisal processes for Investment Advisors and Investment Support Assistants
  • May participate in the screening/hiring of new Investment Advisors/Assistants
  • Bachelor’s degree or in lieu of degree, 4 years of work experience
  • Will be expected to enroll in CFA program
  • Minimum of 10 years of investment management experience required
  • Proficiency with Microsoft Office software with the ability to learn new software applications
  • Ability to build a significant level of trust with clients
  • Strong interpersonal skills to build a significant level of trust with clients, self-confidence, and a proven ability to work well with highly capable and successful individuals
  • Conducts analysis, monitors progress & results, takes appropriate measures and counter measures. Uses appropriate influence to inspire and guide individuals toward goal achievement
  • CFA designation preferred
29

VP, Investment Advisor Testing Resume Examples & Samples

  • 10+ years’ experience in the financial services industry
  • 5+ years’ experience in the investment advisory industry
  • Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders
  • Strong analytical and investigative skills
  • Strong organizational and project management skills and attention to detail
  • Ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines
  • Ability to apply knowledge of regulations to numerous types of activities and operational arrangements in addition to interpreting the effect of new regulations
  • JD, MBA, or Master's Degree
  • A background in compliance testing or audit
  • A background in asset management compliance
30

Investment Advisor Resume Examples & Samples

  • Create and implement a strategic, quantitative client book development plan with measurable actions; monitor and re-assess regularly
  • Develop a mutual understanding with the client and establish trustworthy client partnerships with main focus on regular tactical advice
  • Define the investment strategy and the contractual arrangement most suitable to each client based on needs, objectives and expectations and in cooperation with the Relationship Manager WM
  • Systematically monitor and optimize portfolio quality and performance by immediately addressing any health check issues in client portfolios
  • Flawless day to day execution of client orders
  • Involve specialists from other areas (e.g. Process & Risk Specialist, Investment Specialist, Investment Products & Services, Investment Bank, Global Asset Management)
31

Investment Advisor Compliance Resume Examples & Samples

  • Minimum of 8 years proven and progressive experience in banking businesses, trust business, and/or regulatory reform
  • Understanding of Fiduciary Regulations, ERISA regulations and requirements, including industry best practices and products
  • Ability to think intuitively and strategically so that the department is enabled to anticipate, plan, and effectively execute to mitigate commodities and derivatives compliance risk
  • Must be able to evaluate and solve problems from multiple perspectives. Facilitation skills both in training and meeting environments are essential
  • Excellent verbal and written communication skills with the ability to present to all levels in the Bancorp
  • Ability to negotiate and collaborate with others, initiate action, adapt to change, make difficult decisions, and accept challenging assignments
  • Able to work independently and manage multiple complex projects simultaneously
32

Investment Advisor Resume Examples & Samples

  • You are sales-oriented, self-motivated/managed, disciplined, responsible, and empathetic
  • You have a talent for networking and strong determination to succeed
  • You enjoy the challenges of seeking out new clients through associations in the community and referrals from previously satisfied clients
  • You can build partnerships with other RBC partners (banking, insurance, capital markets) to bring the best of RBC to your clients
  • You are self-assured, outgoing and confident
  • Along with having a strong sense of responsibility, you are extremely self-motivated and have a strong work ethic
33

Investment Advisor WM Greece Resume Examples & Samples

  • Deliver sustainable financial performance along agreed market-specific KPIs and maintain mandate penetration in line with segment targets
  • Develop a mutual understanding with the client and establish trustworthy client partnerships
  • Consistently bring UBS expertise and content to clients via a regular flow of relevant market updates and tactical investment advice in line with CIO house view and Research based Advice (RbA)
  • Systematically monitor and optimize portfolio quality and performance, propose and sell investment solutions of relevant segment
  • Work in close collaboration with team members and share best practices
  • Ensure clients are managed in a manner which complies with all relevant regulation, policies and standards, contributing to an effective risk culture in the team secure flawless execution and documentation
  • Secure effective organization, structured planning and efficient time management
34

Marketing Manager, Investment Advisor Support Resume Examples & Samples

  • Strong relationship-building and collaboration skills are required. You will build and maintain strong relationships with: Investment Advisors, Branch Managers, Legal, Compliance and other internal departments. These relationships will ensure projects are completed on time, on budget and with maximum effectiveness
  • Financial Services/Wealth Management preferred
  • Superior execution and project management abilities
  • Strong written, oral, presentation and interpersonal skills
  • Proven problem solving, negotiation and decision-making skills
  • Demonstrated success in simultaneously bringing multiple projects through to successful completion
  • Strong creative evaluation and innovative thinking skills
  • Must be able to work in a team environment with a multi-disciplinary group
  • Proven marketing experience in advertising, direct marketing, web, and collateral
  • Exceptional relationship building, management and negotiation skills
  • University or Post-Secondary education required
  • Business or Marketing Communications preferred
  • Canadian Securities Course (CSC) is an asset
35

Licensed Investment Advisor Holliswealth National Branch Resume Examples & Samples

  • Ensure a high level of client service by
  • Proactively establishing, developing and maintaining strong client relationships by getting an understanding of a client’s financial situation, Investment goals/objectives and risk tolerance
  • Reviewing the portfolio to ensure it meets the updated risk profile and aligns with applicable investment program
  • Preparing investment / portfolio recommendations for clients and presenting them with a high degree of confidence
  • Ensuring all client interaction is accurately documented
  • Responding to client inquiries in a timely, responsive manner
  • Supporting the growth of the branch by
  • Building effective working relationships across the team and with various business line and corporate function contacts
  • Developing and executing a meaningful employee development plan
  • 3 to 5 years experience provinding investment advice to clients
  • In depth knowledge of mutual funds, securities and asset allocation
  • Working knowledge of investment and retirement planning sufficient to meet the needs of clients and to compete for business within the current market
36

Investment Advisor for External Asset Manager Desk Resume Examples & Samples

  • 3-5 years of experience in institutional sales or sales/trader with focus on providing execution coverage in major markets. Investment consultants from top-tier private bank will also be considered
  • Exposure to multiple asset classes preferred
  • Service and client oriented, polite manners
  • Strong communication skills, team player
  • Strong communication skills in English and German (verbally and written); any additional language, mainly French or Dutch would be considered an advantage      
37

Investment Advisor Resume Examples & Samples

  • Ability to read, write and speak French is required
  • Knowledge of Insurance and group products in order to know when to refer clients to insurance or group specialist
  • Knowledge of Derivative & Proprietary Products
  • Knowledge of BMO products and services leading to the ability to make client referrals
  • Ability to identify appropriate funds based on client needs
  • Ability to monitor and identify potential business opportunities from “Gateway”
  • Comprehensive knowledge and understanding of client needs by segmentation
  • Comprehensive understanding and awareness of competitor offerings
  • Proactive business development and sales skills
  • Strong business and community network of a diverse group of potential clients, particularly in rural markets
  • University degree or equivalent relevant experience
  • CompuCSC and CPH
  • Industry Accreditations (Wealth Advisor 101/201, FP certified, Insurance licensed) preferred
  • Navi Plan Financial Planning preferred
38

Assoc Investment Advisor Resume Examples & Samples

  • Support the lead advisor
  • Relationship management
  • Accountable for the ongoing retention of a defined group of existing clients
  • Can identify and deliver to changing advice needs
  • Performs ongoing fact-finding to uncover organic growth opportunities, multi-generational opportunities, cross-selling and important personal information
  • Delivers excellent service supporting the generation of referrals from existing clients
  • Prepares financial plan and other client meeting preparatory
  • Investment research
  • Conducts research on topics that may include the economy, financial markets, individual securities, mutual funds, annuities, third-party money managers and alternative investments
  • Portfolio analysis and monitoring
  • Compiles and analyzes client data to develop financial plans
  • Simulation modeling using Monte Carlo and other statistical techniques
  • Passive/active management analysis
  • Asset allocation strategies including alternatives
  • Tax gain/loss analysis
  • Portfolio management
  • Assists in the development of complex and highly customized financial portfolios for high-networth individuals
  • Assists with investment recommendations based on research, including rebalancing and asset allocation
  • Prospecting
  • Develops an ability to articulate the story of the practice and identify ideal qualified prospects
  • Assembles customized proposals for clients and prospective clients
  • Assists in building, tracking, and maintaining prospect pipeline and prospecting plan
  • Performs client fact finding
  • Provides insurance quotes
  • Meets with private account managers on an ongoing basis
  • Liaise with Other Team Members
  • Works with client services associate or portfolio administrator on client documentation, client meeting preparation, and processes
  • Participates in regular team meetings
  • Participates in annual business planning strategy session as requested
  • Data input
  • Inputs portfolio transaction data into portfolio analysis or performance measurement software
  • Directs and monitors workflow required to service clients
  • Documents processes for all client analysis, financial planning and research activities in the absence of an operations manager
  • Generates requested reports
  • Develops and maintains standardized proposals, presentations and resource library
  • Ensures that all investment management programs are updated (and upgraded) on a timely basis(this would include asset allocation and spreadsheet software and manager databases)
  • Client interaction
  • Meets, greets, and provides concierge service for visiting clients or prospects as needed
  • Prepares for and leads ongoing client review meetings and supports the delivery of ongoing service to existing clients
  • Responds to advice-related client calls
  • Makes outgoing client courtesy calls
  • Queries clients for updated information pending annual and semi-annual reviews
  • Intakes applications and forms as needed
  • Coordinates portfolio reviews
  • Participates in client meetings with lead advisor to develop client acquisition skills and to support the conversion of prospects to clients
39

Investment Advisor Resume Examples & Samples

  • Proactively review existing portfolios and initiate ideas to maximise investment strategies for clients
  • Create optimal solutions tailored to client needs in the context of prevailing market conditions
  • Build excellent client relationships by providing high quality investment advice to clients and discuss any investment proposals as well as any changes to clients investment objectives and risk tolerance
  • Work closely in a team of two or three client advisors
40

Investment Advisor WM Resume Examples & Samples

  • Proactively and systematically manage client book and ensure clients are invested according to their risk profile
  • Taking the responsibility for the day-to-day execution to meet all legal and regulatory requirements and manage administrative tasks efficiently
  • Supporting the Relationship Manager (RM) by leveraging the entire bank and proactively promoting multi-shoring services, the Investment Bank and Global Asset Management
41

Investment Advisor Resume Examples & Samples

  • Series 65 or 66 licensing
  • Clean U-4
  • Strong sales and closing skills
  • Experience in relationship building and retention of clients
  • A business background, with management skills and experience with staff
  • A passion for investments and a desire to serve the client
42

WM Investment Advisor Resume Examples & Samples

  • Develop a deep understanding of each client and establish trustworthy partnerships
  • Maintain a complete, accurate, up-to-date client investor profile and fully document the client relationship on an ongoing basis
  • Define a structured advisory process and the contractual arrangement most suitable for each client based on needs, objectives and expectations
  • Consistently bring UBS expertise and content to clients via a regular flow of relevant market updates as well as strategic and tactical investment advice by partnering up with various specialists from the Investment Bank, Global Asset Management or Wealth Management
  • Define a suitable client investment strategy
  • Systematically monitor and optimize portfolio quality and performance, inclusive of all UBS relationships
  • Propose and sell highly customized investment solutions aligned with client investment strategy and profile by leveraging specialists from all three divisions, CIO house view and the HNW market/segment offering
  • Establish, maintain and leverage specialist relationships with investment products & services, Investment Bank, Global Asset Management and WM aligned functions (e.g. Institutional Solutions Group)
43

Investment Advisor Wealth Management Resume Examples & Samples

  • Providing and implementing tactical investment advice based on the CIO view
  • Ensure clients are regularly contacted with investment opportunities, in line with their risk profile
  • Leveraging the entire bank and proactively promoting multi-shoring services, the Investment Bank and Global Asset Management together with the RM
  • Sound cross asset know-how
  • Excellent trading, execution and sales skills
  • Keen interest in and affinity for the financial markets
  • Solid know how of UBS Tools
  • Organized and structured approach and a client focused working style
  • Motivated and hardworking team player
  • Fluent in English and German, every additional language would be an advantage
44

Senior Investment Advisor Resume Examples & Samples

  • To provide mutual funds recommendations to all RMs & clients in the region
  • To provide effective communication of fund ideas via morning meetings, email recommendations, investment proposals, team meetings, and one to one meetings with clients
  • To review and monitor the performance of all fund recommendations
  • To deliver prompt and accurate responses to RMs queries, as well provide a good follow up on recommendations
  • To be actively working with RMs especially HK RMs and meet their clients for fund solutions
  • To work closely with other team members in the region to identify investment opportunities in order to meet business budget
  • To meet internal procedures for new funds validation and promotion; and work with all parties of the Bank including Back Office to ensure smooth flow of business
45

International Investment Advisor Resume Examples & Samples

  • Build internal and external business relationships to grow and develop a portfolio of investment advisory and discretionary clients
  • Build highly proactive, long- term relationships with clients and key business introducers to generate sustained revenue and recruit new clients
  • Use their extensive experience and knowledge identify and provide solutions to a wide range of client needs including investments, banking, credit, FX and wealth structuring (trusts etc)
  • Research and maintain up to date knowledge of all applicable regulatory requirements and compliance policies
  • Build and maintain a portfolio of clients
  • Maintain regular proactive contact and initiate rapid reaction to client approaches to grow revenue streams
  • Have significant experience in delivering high quality client portfolio management, delivering world class, relationship-orientated service in a culturally diverse international market
  • A firm understanding of the importance of client relationships and knowing the importance of communication and our desire to closely engage and guide clients
  • Be degree educated (or equivalent), with a strong academic track record
  • Have a strong previous track record within the Investment space, with a leading bank
46

Senior Private Client Investment Advisor Resume Examples & Samples

  • Minimum of 8 years of investment management experience required
  • Ability to build a significant level of trust with clients; empathy & real interest in working with people
  • Strong interpersonal skills to build a significant level of trust with clients, empathy, and real interest in working with people, self-confidence, and a proven ability to work well with highly capable and successful individuals, ability to work effectively in a team environment
  • Conducts analysis and monitors progress and results and takes appropriate measures and counter measures. Uses appropriate influence to inspire and guide individuals toward goal achievement. Fosters the attitudes, conditions, and environments that yield improved quality and quantity to maximize performance
47

Uhnw CEE Investment Advisor Resume Examples & Samples

  • Providing and implementing strategic and tactical investment advice based on the UBS CIO view
  • Ensure clients are regularly contacted with investment opportunities
  • Grow the book by exploiting share of wallet opportunities, referrals and conversion of prospects
48

Investment Advisor Resume Examples & Samples

  • Managing existing client relationships and assets to generate an ongoing source of profitable revenue
  • Actively promote the products and services provided by the National Branch
  • Develop, execute and maintain compliant financial strategies by
  • Preparing financial strategies and solutions to service client’s goals and objectives that are in the best interest of the client, the firm and within regulatory requirements
  • Display a high level of integrity and professionalism in all dealings with internal and external clients
  • Responding to client requests, inquiries, and concerns promptly and efficiently
  • Provide sound and appropriate investment advice to clients to help meet their investment objectives
  • Adhering to all firm and regulatory policies by remaining up to date with all the regulatory rules and trading activities as it relates to a client’s account
  • Actively participating and contributing to branch and team meetings
  • Actively share knowledge and experience to enhance the development of all team members
  • Superior time management skills required: strong organizational and work planning skills, ability to apply a logical approach
  • Demonstrates integrity: conducts all aspects of business in a professional manner to the highest level of ethical and regulatory standards
  • Develops and maintains strong relationships with internal and external clients and contacts
49

Associate Investment Advisor Resume Examples & Samples

  • Business Development – Grow the Business: Execute on marketing and business development activities to facilitate the accumulation of assets and convert prospects into clients
  • Investment Management Advice: Recommending investments in alignment with the strategic direction of the lead IA. This includes monitoring and rebalancing the portfolio's, making investment recommendations and providing periodic portfolio reviews and ongoing advice
  • Relationship Management & Legendary Client Experiences: Deliver a legendary client experience by managing a set of designated client accounts within the lead IA's book of business
  • Planning – Wealth Considerations: Leverage financial planning expertise to produce high quality plans that exceed the expectations of clients through a well-documented (IWP) plan
  • Be knowledgeable of and comply with TD Bank/industry service standards, policies/procedures/controls, codes and guidelines of conduct/privacy codes/securities laws and regulations and maintain high ethical standards
  • Complete familiarity and adherence to compliance and IIROC requirements as outlined in PIA's policies/procedures and IIROC rules/regulations. This includes all aspects of new and existing account documentation, marketing materials, etc
  • Ensure necessary due diligence (e.g. accuracy of information) to support the accuracy of all client activities, ie Know Your Client, etc
  • Minimum three years' experience working directly with, or in support of, the wealth management needs of clients
  • Current industry experience with advising and making recommendations on client investment portfolio's
  • Ability to proactively identify client needs and deliver legendary client experience
  • Experience building a strong rapport with clients, prospects, and COI's with ease
  • Strong financial acumen and appreciation of TD's Risk Appetite
  • Experience applying market insights/research and evelop robust client financial plans
  • Possess excellent communication skills, both written and verbal
  • Expert use of industry/firm software (CROESUS, ISM, FIP, Thomson ONE, IWPS)
  • Proficient with MS office including advanced use of Excel, Word and PowerPoint
  • Detailed oriented and highly organized
  • Proven ability to work in a fast-paced, dynamic environment, while delivering a high level of client service
50

Associate Investment Advisor Resume Examples & Samples

  • Previous AIA experience with an existing client base preferred
  • Strong financial planning background
  • Results oriented with a proven track record of meeting and exceeding targets
51

AFA Investment Advisor Resume Examples & Samples

  • Ability to utilize conceptual thinking to identify patterns, apply concepts and clarify complex information
  • Ability to use data to persuade and influence customers to objectively guide them
  • Strong presentation skills required
  • FINRA 65 or 66 or ability to obtain within 90 days
  • CERTIFIED FINANCIAL PLANNER™ designation & CHARTERED RETIREMENT PLANNING COUNSELOR™ designation preferred upon hire
  • Ability to obtain CHARTERED RETIREMENT PLANNING COUNSELOR™ designation within 6 months of start date required
52

Senior Investment Advisor & Sales Coach Resume Examples & Samples

  • 5+ years of experience in a securities environment
  • Client oriented and the ability to build strong relationships with clients
  • Intimate knowledge of products available to investors
  • Team player and leadership competencies
  • Strong planning, organization and people management skills
  • Thorough, current knowledge of the Regulations and best practices guidelines
  • Thorough understanding of the firms’ compliance policies and procedures
  • Excellent oral and written communication skills
53

Investment Advisor Team Assistant Resume Examples & Samples

  • Sound knowledge of Microsoft Office and Excel skills
  • Canadian Securities Course (CSC) preferred
  • Exceptional attention to detail, and the ability to manage high volumes of paper in detailed processes
  • Ability to multi-task in a high pace environment and be able to shift priorities and deliver results
  • Excellent written and communication skills
  • Answer all incoming calls in a courteous and professional manner
  • Investigate and follow up on client queries where appropriate and as directed by the team or Branch Management
  • Maintain all client contact details up to date in the contact management system
  • Print daily, weekly, and monthly reports as appropriate and as directed by the team
  • Assist the team with client trades as directed in order to ensure that proper settlement and delivery of securities is reflecting in client accounts
  • Ensure the timely and accurate processing of all new accounts for new and existing clients in accordance with internal policies and procedures
  • Organize team calendar and ensure there is appropriate coverage for the team
54

Associate Investment Advisor Resume Examples & Samples

  • Advanced knowledge of investment process and procedures
  • Proactively and professionally provides assistance to IA(s) in order to meet client needs, develop and execute business strategy and business planning
  • Capable of acting independently with defined client segments on behalf of IA(s) to implement and manage wealth management strategies
  • Knowledge of portfolio construction and management
  • Knowledge of Derivative Products
  • Knowledge of Financial Planning in order to assist clients
  • Knowledge of Bank products and services leading to the ability to make client referrals, as necessary
  • Ability to fully utilize financial planning resources such as Navi Plan Financial Planning, Divisional Financial Planner, Financial Planning Bureau and Deal Team with both existing and new clients
  • Expert use of retail/PCD technology to maximize team efficiency
  • Advanced knowledge of administrative process and procedures as contained in Sales Administration Manual
  • Fluency in English and Mandarin is required
  • University degree or equivalent industry experience
  • CSC and CPH
  • Associate Investment Advisor Training Level 1
  • Registration as Registered Representative (RR)
  • Wealth Advisory 101/201
  • Navi Plan Financial Planning
  • 12 hours compliance training over a 3 year cycle to meet mandatory IDA Continuing Education Program requirements
  • 30 hours of professional development or product knowledge training over a 3 year cycle to meet mandatory IDA Continuing Education Program requirements
  • Professional Financial Planning (PFP) must be completed prior to 30th month of RR license
  • Associate Investment Advisor Level 2 program
55

Investment Advisor, Luxembourg Resume Examples & Samples

  • Work in close collaboration with team members, allowing access to client files and sharing information on client activities in a timely and regular manner and sharing best practices
  • Define the investment strategy and the contractual arrangement most suitable to each client based on needs, objectives and expectations and in cooperation with the Relationship Manager Wealth Management
  • With the support of our Portfolio Managers, systematically monitor and optimize portfolio quality and performance by immediately addressing any health check issues in client portfolios and prepare for key client meetings, executing investment proposals and assisting with risk remediation activities
  • Propose and sell investment solutions of the relevant market and segment offering
  • Involve specialists from other areas (e.g. PRS, IS, IPS, IB, Global AM)
  • Ensure clients are managed in a manner which complies with all relevant regulation, policies and standards, contributing to an effective risk culture in the team
  • Proven track record in client servicing of sophisticated clients in the UHNW segment
  • Entrepreneurial spirit, interpersonal skills and engagement
  • Minimum of 5 years of professional experience in Wealth Management and/or Sales
  • In depth market know how for coverage market Holland
  • Excellent ability to analyse clients' situations and needs subsequent provision of solutions
  • Fluency in English and Dutch is a must, German and French will be positive additions
56

Investment Advisor Resume Examples & Samples

  • Providing transaction services to clients, including taking, routing and confirming orders
  • Supporting Relationship Managers in managing an existing client portfolio of External Asset Managers
  • Involvement in gathering and filtering market and research information across all asset classes
  • Systematically collating client information and requirements and updating the corresponding database with a view to maintaining and improving service levels
57

Investment Advisor Associate Resume Examples & Samples

  • Management of client account documentation, ensuring that the branches obtain all required information in compliance with local and Canadian AML regulatory as well as internal policy requirements
  • Management of branch operations to ensure the timely and accurate processing of all client disbursements, deposits, and transfers requests in compliance with internal policies and procedures
  • Timely and accurate execution of trade orders in the global equity, fixed income and FX markets
  • Assist the Complex Supervisor in the supervision of the complex, providing reports and working on special projects as necessary
  • Sound knowledge of MS Word, Excel and Office
  • Keen attention to detail and accuracy in all aspects of job duties
  • 5 to 10 years experience in international financial services
  • Relevant university degree
58

PCD Investment Advisor Resume Examples & Samples

  • A minimum of 5 to 10 years of relevant work experience
  • Excellent communication, organizational, time management, and listening skills
  • Outstanding interpersonal skills with the ability to relate to a wide variety of individuals
  • Cognitive skills to learn and apply technical concepts respecting investing, financial planning, selling and marketing in order to assist clients
  • Minimum 5+ years related work experience
  • Aptitude in Sales
59

Investment Advisor WM Uhnw Russia / CIS Resume Examples & Samples

  • Ensuring smooth execution of day-to-day client queries
  • Supporting the Relationship Manager by leveraging the entire bank and proactively promoting multi-shoring services, the Investment Bank and Global Asset Management
  • Solid understanding of financial markets and investments (university degree; CFA/CIIA is a plus) Experience in Wealth Management is a plus Commitment, understanding of and passion for the Russian market Proficiency in Russian and English Successful track record in investment advisory High ability to analyze and solve problems Strong social and communication skills Entrepreneurial spirit with a highly committed and outgoing personality Team-player
60

Investment Advisor Resume Examples & Samples

  • Technical knowledge of investment products and Brazilian financial market
  • Investment Certification suitable for this position (e.q. CFP, CEA..)
  • Concepts of Macroeconomics
  • Great interpersonal relationships and in contact with customers
61

Investment Advisor National Branch Resume Examples & Samples

  • Provide a high level of customer service by
  • Ensuring client is transferred efficiently from original branch
  • Adhering to all firm and regulatory policies by remaining up to date with all regulatory rules and trading activities
  • Generate revenue through development of client relationships by
  • Managing existing client relationships and generate an ongoing source of profitable revenue
  • Identify opportunities to promote products and services of Scotia partners where appropriate
  • Be accountable to firm policies, procedures and regulatory requirements including continuing education obligations for all licenses and designations held
  • Building effective working relationships across the team and with various business lines
  • Facilitating a culture of open and honest communication
  • 5+ years of experience in a sales, relationship, or account management role
  • Proficient in trading and account management systems
  • Experience providing investment advice to clients
  • Superior time management skills required: strong organizational and work planning skills
  • Demonstrate integrity: conducts all aspects of business in a professional manner to the highest level of ethical and regulatory standards
  • Must be customer and results focused
  • Individually motivated and team supportive
62

Lead Investment Advisor National Branch Resume Examples & Samples

  • Provide sound and appropriate investment advice to clients to meet their investment objectives
  • Ensuring that all client interaction is accurately documented
  • Identifying opportunities to gather additional assets from existing client base
  • Actively promote the products and services available to the National Branch
  • Preparing financial solutions to service client’s goals and objectives that are in the best interest of the client, the firm and within regulatory requirements
  • Contribute to the effective functioning of the National Branch team by
  • Provide strong team leadership to motivate and develop individual and team performance by
  • Fostering and developing a strong, positive team environment, driving employee empowerment, innovation and a high degree of engagement
  • Exhibiting an ability to listen, negotiate and communicate goals
  • Sharing knowledge, experience and responsibility with employees in a drive for the highest standards of professionalism and service excellence
  • 5-7 years of experience in a sales, relationship, or account management role
  • Effective verbal and written communication skills: ability to explain financial strategies and concepts, and handle client concerns in a professional and appropriate manner
  • Strong self-management and results orientation
63

Associate Investment Advisor Resume Examples & Samples

  • Knowledge of Financial Planning and underlying concepts in order to assist clients
  • CSC and CPH required
  • Minimum 4+ years related work experience
  • Professional Financial Planning (PFP) or (CFP) accreditation
  • MPA or other fee based program experience
64

Pwm-investment Advisor Resume Examples & Samples

  • Provide clients with specialist investment advice and constructing and managing of their strategic allocation and tactical portfolios
  • Creating value for clients across asset classes suitable to their risk profile and investment objective
  • Ability to work with teams across different locations
  • Ability to build relationships with both internal and external clients
65

Investment Advisor Ny-spanish Resume Examples & Samples

  • Observe suitability and credit polices at the point of client transactions for trade approval
  • Minimum of Bachelor’s degree
  • Spanish is required
66

Investment Advisor NY Resume Examples & Samples

  • Series 7 Licensed
  • Series 66 completed after 60 days
  • CFA, CAIA, MBA degree or other advanced degree a plus
67

Investment Advisor WM Resume Examples & Samples

  • Create and implement a strategic, quantitative client book development plan aiming towards contract-based solutions and including regular monitoring and re-assessments
  • Develop a mutual understanding with the client and establish trust-based partnerships with main focus on tactical advice
  • Maintain a complete, accurate, up-to-date investor profile and fully document the client relationship
  • Work closely with other team members, regularly sharing information on clients and client activities and sharing best practices
  • Define the investment strategy and contractual arrangement most suitable to each client based on needs, objectives and expectations and in cooperation with the Relationship Manager WM (RM)
  • With the support of the RM and Investment Products & Services, prepare key client meetings, systematically monitor and optimize portfolio quality and performance by executing investment proposals, immediately addressing any health check issues and assisting with risk remediation activities
  • Regularly bring UBS expertise and content to clients via flow of relevant market updates, tactical investment advice and portfolio health checks aligned to investor profile, CIO House View and Research based Advice
  • Involve specialists from other areas (e.g. Process & Risk Specialist, IPS, Investment Bank, Asset Management)
  • Ensure clients are managed according to all relevant regulations, policies and standards, contributing to an effective risk culture in the team
68

Investment Advisor Resume Examples & Samples

  • Existing clients and prospects on a continuous basis to provide investment information, advice and recommendations, accept orders and respond to inquiries
  • Branch employees
  • Wood Gundy branch IA’s and Management
  • Product Solutions teams
  • Credit, Operations and Compliance departments daily to obtain/ provide information
  • Marketing/ Economics/ Research/ Library to request market and investment information
  • Occasional contact with lawyers and accountants
69

Senior Investment Advisor Resume Examples & Samples

  • Demonstrable experience providing investment advice to High Net Worth clients with particular reference to investment portfolio management
  • Demonstrable experience advising and executing global markets solutions to High Net Worth clients
  • Exceptional influencing Skills
  • Exceptional business development skills
  • Exceptional investment markets knowledge and background
  • Exceptional understanding of the financial advice process
  • Has industry relevant post graduate qualification, Diploma of Financial Planning 1-8 and Certified Financial Planner preferred
70

VP Investment Advisor Resume Examples & Samples

  • 5 plus years developing client portfolio and providing sound wealth management advice
  • Thorough knowledge of long term financial growth strategies
  • Thorough knowledge of Asset Allocation Modeling
  • Thorough knowledge of Dollar Cost Averaging
  • Thorough knowledge of various types of equity, debt and mutual fund securities
  • Thorough knowledge of leveraging referral sources to develop new business
  • Active FINRA Series 7 License
  • $19 MM plus in existing investment portfolio
71

Commercial Real Estate Investment Advisor Resume Examples & Samples

  • Maximize the value of the leased or owned asset
  • Keep current, the appraised market value of each asset
  • Drive value through a variety of real estate management metrics
  • Analyze acquisition of core properties and branches that we currently lease today
  • Establish systems and processes to track and manage existing and future property commitments
  • BA required
  • 7+ years in the real estate business as a real estate capital markets executive, corporate real estate professional or real estate asset manager
  • 5+ years of real estate investment experience
  • A track record of success in asset management and capital transactions, and demonstrate sophisticated communication and organizational skills as as well as the ability to manage a team to deadlines
  • Strategic thinker with the ability to create disruptive negotiating strategies, and manage the portfolio of assets more like an investment rather than a disparate collection of corporate assets
  • Credible/trust relationships with the largest commercial real estate REITs, Institutional & Private landlords
  • High level of professionalism, including an overriding commitment to the team's success
  • Ability to effectively interact with Business and Corporate Leaders
  • Knowledge of vertically integrated tracking, management and reporting systems
  • Experience managing a multi site/multi regional asset portfolio
72

Associate Investment Advisor Resume Examples & Samples

  • 60%-Planning:Financial planning including Investment and Wealth Planning (IWP), wealth considerations, and retirement strategies
  • 10%-Business Development:Developing and executing on a sales plan: cold calling, events coordination, marketing initiatives, which facilitate the accumulation of assets and convert prospects into clients
  • 10%-Investment Management:Advises & recommends investments in alignment with the strategic direction of the lead IA
  • 10%- Relationship Management:Focus on how to deliver a legendary client experience, CRM, execution of a gold standard of practice
  • 5%-Business Management:Develops & executes action plans to improve team efficiency and client experience. Develops marketing/event plans, including a social media presence
  • 5%-Talent Management: Coaching & Mentoring support staff
73

Investment Advisor Trainee Resume Examples & Samples

  • Extensive industry knowledge, including knowledge of individual securities, the capital markets, economic cycles and the performance of securities within these cycles, taxation issues, etc
  • Previous related financial industry experience an asset
  • Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH)
  • Proven success in sales and business development, regardless of industry/discipline
  • Ability to generate new contacts through networking, cold calling, prospecting, referrals, seminars, etc
  • Solid quantitative skills including strong financial modeling skills
  • Ability to make quick and ethical decisions while working under pressure and strict deadlines
  • Resourceful, diligent and strong attention to detail
  • Ability to work independently and manage time and multiple tasks
  • Business undergraduate degree an asset
74

Investment Advisor Assistant Resume Examples & Samples

  • Assist Investment Advisor with processing and confirming client transactions
  • Deal directly with all clients, provide quotes and execute trading orders
  • Maintain account lists and compile statistical information and reports
  • Process and follow-up on client documentation for proper maintenance of accounts
  • Assist with servicing existing clients and prospecting for new clients
  • Explain products and services recommended to clients and answer their general questions
  • Perform various administrative duties and conduct research as required
  • Completion of CSC and CPH with one to two years of experience in a similar role
  • Options or US course would be preferable but not required
  • Well-rounded knowledge of securities industry
  • Must be detail-oriented and organized
  • Demonstrated ability to meet deadlines and work under pressure with a strong ability to multi-task
  • Ability to work with employees and clients at all levels is essential
  • Strong initiative and ability to work effectively without supervision
  • Intermediate to advanced computer skills: good working knowledge of Microsoft Office programs
75

Investment Advisor Assistant Resume Examples & Samples

  • Assist with processing and confirming client transactions
  • Deal directly with clients, provide quotes and execute trading orders
  • Keep informed on market and business news and events
  • 2-3 years' experience required as a licensed IR or RR
  • Excellent organizational skills, with strong attention to detail
  • Excellent communication and interpersonal skills, with the ability to work with clients and employees at all levels
  • An understanding of media and marketing would be an asset
  • Intermediate to advanced computer skills: good working knowledge of Microsoft Office programs including Excel
76

Investment Advisor The Mutual Fund Store Resume Examples & Samples

  • 2-3+ years with financial services & investment industry in a client facing, service minded, sales role
  • Proven capability to attract and retain quality client relationships
  • A national marketing strategy, generating substantial, qualified leads for the advisors growing book of business
  • No limit model that works for the masses, not just the ultra-high net worth client; we typically work with a $50K and up threshold
  • Competitive compensation structure within a performance driven culture so your efforts pay you
77

Associate Investment Advisor Resume Examples & Samples

  • University degree in Accounting or Finance
  • CPA desgnation (completed or in process)
  • CSC and CPH preferred (completed or in process)
  • 3 to 5 years related work experience
  • Financial Planning certification
  • Bilingual (French & English)
78

Plan Member Investment Advisor / Consultant Resume Examples & Samples

  • One on one needs based investment guidance discussions
  • Communicate the benefits of investing inside of an employer group plan and maximizing contributions while taking full advantage of employer matching programs
  • Consolidation discussions
  • Meet sales objectives, while providing exceptional support and guidance to members
  • Required to clearly explain available products and benefits at the level of plan member understanding
  • Gather and accurately record all customer information required to process enrolment to a plan and transfer-in of external assets to the group plan (where applicable)
  • Remain current and up-to-date on wealth management products, market trends and financial planning issues
  • Deliver outstanding customer service in a professional manner to assist client's decision-making process
  • Proactively share knowledge and best practices to ensure team objectives are met
  • Experience in financial services sales and/or customer service
  • Mutual Fund and/or Life License is required
  • University business degree preferred
  • Minimum five (5) years of experience in individual sales of financial products
  • Certified Financial Planner (CFP) designation is an asset
  • Interest in financial advising focusing on Wealth/Investment Planning
  • Knowledge of Group Benefits Optional Life and Critical Illness products beneficial
  • Strong knowledge of wealth management products and services
  • Ability to work independently in an open office environment and manage day-to-day office functions
  • Passion for doing what's right for the customer and helping people make educated decisions during a time of personal change
79

Investment Advisor Resume Examples & Samples

  • Implements the strategies and techniques used to ensure that customers have a positive experience with the organization and its products and services at every touch point
  • Knowledge of the techniques and the ability to work with a variety of individuals and groups in a constructive and collaborative manner
  • Knowledge of coaching concepts and methods; ability to encourage, motivate, and guide individuals or teams in learning and improving effectiveness
  • Ability to utilize tools and techniques for understanding the needs of customers; markets to clients a full suite of bank products. Promotes financial ideas and solutions from new or existing relationships resulting in increased revenue generation
80

Investment Advisor Resume Examples & Samples

  • Knowledge of and ability to utilize the tools, techniques, and acceptable business practices associated with managing a client's securities investments
  • Knowledge of and ability to use various techniques to design and implement investment strategies according to investment objectives as well as to provide effective portfolio management and to maximize investment returns
  • Knowledge of the principles and practices for selling products, technology and services; ability to provide overall product/service 'value' and differentiating support offerings that address clearly understood customer needs
81

Investment Advisor Senior Resume Examples & Samples

  • Knowledge of and the ability to identify and engage potential opportunities in the market. Build relationships and create opportunities. Plan, strategize and target the right industries. Create value propositions with impact
  • Knowledge of and ability to implement effective strategies and activities that promote long-term customer loyalty
  • Knowledge of and the ability to sell an organization's products and services
82

Investment Advisor Resume Examples & Samples

  • Assesses and effectively manages all of the risks associated with their business objectives and activities to ensure activities are in alignment with the bank’s and unit’s risk appetite and risk management framework
  • Knowledge of and the ability to identify and engage potential opportunities in the market.ÿ Build relationships and create opportunities.ÿ Plan, strategize and target the right industries.ÿ Create value propositions with impact
  • Applies diverse tools, tactics and techniques to persuade customers to buy an array from the suite of banking products or services.ÿ Identifies prospecting approaches to identifying potential customers and creates opportunities in order to sell financial solutions and ideas to customers
83

Investment Advisor Resume Examples & Samples

  • Prior experience within the banking industry
  • Strong financial markets and product knowledge
  • Outstanding sales and interpersonal skills
  • Self-motivated and highly driven
  • Proficiency in both English and Cantonese (Proficiency in Mandarin highly preferred)
  • Relevant tertiary education
84

Investment Advisor Resume Examples & Samples

  • Design well diversified and optimised portfolios reflecting Barclays Wealth strategic views
  • Customise portfolios taking into account personal objectives and individual financial personalities
  • Provide advice on individual solutions and devise trading / investment ideas for clients
  • Review investment portfolios regularly
  • Provide regular market updates on all major asset classes and financial indicators
  • IAs will have full responsibility for managing and communicating directly with clients on their Advisory assets (subject to entry level criteria of £3m per Advisory relationship)
  • IAs are expected to have extensive market and investment knowledge in order to direct all investment assets under their covered relationships (including discretionary / advisory / direct access and Exo service assets)
  • IAs will provide a proactive bespoke service as agreed with clients. The service requires that IAs have strong communication and influencing skills (both written and spoken) with the ability to compile highly developed presentations, recommendations and review reports with a view delivering to clients personally
  • Investment advisors will have significant interaction with key stakeholders from across the business including banker teams, GI&S product areas, wealth advisory and investment services, to name a few
  • Within the context of their local team and across Global Investments & Solutions, an investment advisor is expected to contribute to idea generation, product development and the ongoing enhancement of the investment proposition
  • The successful candidate will be of graduate calibre and will preferably have industry qualifications to FCA Level 6 and be SPS registered where operating in the UK wealth management industry
  • CV Review: If you meet the criteria for the role you’ve applied for, a member of our team will be in touch to conduct a short telephone interview to explore your application in greater detail
  • Assessment: If your application is successful at this stage, we’ll ask you to complete an online Situational Judgment Test to explore your alignment to the Barclays Values and Competencies. Your recruiter will be able to provide further information about the test
85

Investment Advisor Assistant Resume Examples & Samples

  • Provide administrative services to the portfolio of clients
  • Respond to client inquiries via phone and e-mail
  • Open and maintain client files and accounts and manage shared drive
  • Prepare and send daily and weekly physical and electronic client communications
  • Perform outgoing sales calls (cold and warm calls) aimed at identifying and qualifying potential investors. Range of investment products may include stocks, bonds, third party managed solutions and insurance related investment products and strategies
  • Assist with development of center of influence connections
  • Organize and maintain a database of prospects and clients
  • Contact prospects to determine interest in receiving literature on selected investment products
  • Prepare e-mail and general mail outs to clients and prospects including tracked email marketing
  • Assist with coordinating client seminars/meetings led by the Investment Advisor
  • Manage social media platforms (LinkedIn, Facebook, Twitter)
  • Work with the marketing department on advertising, and meet with vendors to negotiate pricing and timing of marketing efforts
  • Work with suppliers for advertising / branding, and networking with dealers
  • Maintain marketing budget and reimbursement credits
  • Coordinate, attend and provide support at all event functions
  • Perform ongoing maintenance and design of the team website and liaise with IT professionals as required
  • Provide administrative support to team, and perform other marketing duties as required
  • A minimum of 1-2 years of administrative experience. Investment industry experience an asset
  • Education including a Bachelor’s degree (or equivalent) and completion of CSC required. Additional education an asset (e.g. CIM, PFP, FMA)
  • Strong organizational skills, with the ability to meet deadlines and work effectively under pressure
  • Excellent prioritization skills, with the ability to exercise sound judgement
  • Excellent written and verbal communication skills; with fluency (written & verbal) in Mandarin an asset
  • Strong interpersonal skills, with superior customer service skills
  • Proactive, and able to work effectively within a team environment
  • Proficiency with Microsoft Office (Word, Excel, Outlook)
86

Senior Investment Advisor Resume Examples & Samples

  • Active contribution to the investment ideas of the global Advisory team within equities and equity options strategies
  • Ownership for tactical and strategic equity investment ideas
  • Present and communicate equity recommendations to RM’s and clients
  • Identify appropriate investment strategies tailored to client needs in order to create new business and add value to existing client portfolios
  • Build and promote the investment advisory offering inside the bank and with prospects
  • Maintain close working relationships with in-house and external experts, investment platforms and product specialists to ensure client insights and market intelligence are reflected in portfolios
87

Pwcc-investment Advisor Resume Examples & Samples

  • Assist the RMs and the team to achieve targets and manage risk, including margin calls
  • Min -8 of years in the private banking or financial services
  • Good understanding of the workings of the different asset classes, especially Equities
88

New Investment Advisor Resume Examples & Samples

  • Partner with an experienced IA as part of a short-term assignment, with a potential opportunity to join an IA team permanently
  • Entrepreneur: is willing, able, and determined to develop business
  • People person:can develop rapport and build strong relationships
  • Confidence:in managing and influencing sophisticated clients
  • Well-versed communicator:has ability to drive meaningful, two-way dialogue
  • Experienced problem-solver:can generate unique solutions that respect TD’s risk appetite
  • Fresh, innovative thinker:can offer unique insights and explain the value of advice
  • Customer service champion: is emotionally aware, can proactively respond to client needs
  • Optimist: has natural ability to leverage diverse thinking
  • Change catalyst:is adaptable and comfortable navigating a fast-paced, dynamic environment
  • IIROC license required within three months
  • Insurance license required within four months
  • CFP, CIWM an asset, but not required
  • Minimum three years' experience working in a client-facing, sales or relationship-focused role
89

Associate Investment Advisor Resume Examples & Samples

  • Proven track record of success in a sales and/or relationship role
  • Developing Investment Advisors participate in a 40-month program, subject to the terms and conditions of the DIA Employment Agreement
  • 80%-Investment Management:Advises & recommends investments in alignment with the strategic direction of the lead IA
  • 15%-Planning:Financial planning including Investment and Wealth Planning (IWP), wealth considerations, and retirement strategies
90

Associate Investment Advisor Resume Examples & Samples

  • Ability to fully utilize financial planning resources such as Navi Plan Financial Planning
  • Advanced knowledge of administrative process and procedures
  • Completion of the CSC and CPH required
  • Registration as Registered Representative (RR) with IIROC preferred but not required
  • CFP designation preferred but not required
  • 12 hours compliance training over a 3 year cycle to meet mandatory IIROC Continuing Education Program requirements
  • 30 hours of professional development or product knowledge training over a 3 year cycle to meet mandatory IIROC Continuing Education Program requirements
  • Wealth Management Essentials (WME) must be completed prior to 30th month of RR license
91

Investment Advisor Resume Examples & Samples

  • Providing Investment Advice: Drawing on a broad experience base the IA will together with the relationship managers be able to identify appropriate investment strategies tailored to client needs, and this will help new business and increase existing client wallet. Where necessary put in place an appropriate team structure (virtual or otherwise) with representatives from the different specialist teams in the product office to support large or complex proposals. Together with the relationship manager, the investment advisor will play a key role in providing clients with a continued superior level of advice with respect to asset allocation and specific investments
  • Ideas Generation: Maintain a close working relationship with segment experts, investment platforms and product specialists to ensure any client insights or market intelligence can be fed back for potential product development or services opportunities. Where relevant and practical, look for opportunities to manage clients’ liabilities and assets
  • Risk Management: While maintaining an appropriate level of professional qualifications to meet regulatory and group policy requirements, the IA will also ensure the investment approach is consistent for client with similar investment objectives. Mandates need to be supported by the platforms and are appropriate for the stated clients investment objectives. In addition, maintain appropriate leads, proposal generation and new business MI
92

International Investment Advisor Resume Examples & Samples

  • Providing a first class financial planning service based on analysis of financial needs and risk position from client activity
  • Taking clients through an on-going risk profiling process to ensure the chosen portfolio meets their risk appetite and is best placed to assist them in achieving their medium and long term financial goals
  • Using their extensive experience and knowledge identify and provide solutions to a wide range of client needs including investments, banking, credit, FX and wealth structuring (trusts etc), whilst showing appreciation for the lifestyle and financial priorities of our international clients
  • Maintaining and develop client relationships and provide investment advice within the UK regulatory framework
  • Interaction with Product and Group partners driving a world class client-centric culture by ensuring the delivery of an exceptional client experience and promoting Barclays Group products and services based upon an in-depth understanding of clients’ needs
  • Contribution to the to the team commercial goals and the delivery of sustainable returns via provision of appropriate (suitable) investment advice to clients
  • Significant interaction with key stakeholders from across the business including banker teams, GI&S product areas, wealth advisory and investment services, to name a few
  • Demonstrate an in-depth understanding and experience of the Financial Services Industry, particularly in the areas of regulated financial planning specialising in Investments, Pensions and TrustsExcellent knowledge of the collectivised and fund investment solutions along with an understanding of the broader investment marketplace
  • Understanding of the risks associated with financial planning; in particular, the relationship between customer attitudes to risk and the suitability of financial solutions recommended, and must be able to demonstrate integrity and adherence to compliance policies and procedures Providing a proactive bespoke service as agreed with clients. The service requires that IIAs have strong communication and influencing skills (both written and spoken) with the ability to compile highly developed presentations, recommendations and review reports with a view delivering to clients personally
  • Being of graduate calibre and will preferably include industry qualifications to RDR level 4 minimum
93

Associate Investment Advisor Resume Examples & Samples

  • Advanced knowledge of Financial Planning Software
  • Advanced knowledge of Tax Planning Strategies
  • Knowledge of Estate Planning Strategies
  • Ability to fully utilize financial planning resources such as Naviplan Financial Planning, Divisional Financial Planner, Financial Planning Bureau and Deal Team with both existing and new clients
  • Registration as Registered Representative (RR) with IIROC preferred
  • CFP or PFP designation preferred
94

Senior Transaction & Investment Advisor Resume Examples & Samples

  • Advanced degree energy, finance, economics, business administration, or another relevant discipline
  • 10 years relevant project finance and investment experience, including developing country work, in origination, structuring/execution and post deal assistance of various power sector transactions
  • Extensive experience in power and energy sector transactions (e.g. RE) in developing countries, including Europe and Eurasia region
  • 15 years of experience working directly for large-scale power, energy and renewable projects funded by international development banks, reputable commercial banks, and private investors
  • 5 years of prior work experience in Ukraine, Europe and Eurasia region on energy sector project and understanding of clean and renewable energy best
95

Senior Investment Advisor Resume Examples & Samples

  • Provide US stocks and global technology sector research and recommendations; assist with client and other internal requests and idea generations on cash equities and derivative products
  • Dissimilate market intelligence, analysis, and commentaries to RMs and ICs
  • Develop and manage various investment lists based on business requirement
  • Actively generate and market investment ideas to RMs and client by way of regular weekly presentations and team meetings
  • Assist RMs in developing equity sector strategies and investment ideas to suit individual client’s investment objective and risk tolerance
  • Perform Equity portfolio reviews on RM’s requests
  • Prepare daily commentary for respective markets under coverage
  • Develop regular contact and work closely with other analysts in the region and HQs
  • Work under the direct supervision of the Head of Equities, Asia
  • At RM’s request, meet and service clients to enhance client relationship and assist with AUM acquisition
  • Contribute actively in the construction of equity / ETF model portfolio
  • Conduct data-mining and stock screening activities when requested
  • Back up other analysts and assist Team Head. Be a strong team player
  • 1st degree in Finance / IT; MSc in Finance & CFA preferred
  • 10-15 years of relevant experience in the Finance industry; preferably Equity Research, Portfolio Management, or Private Bank
96

Investment Advisor Resume Examples & Samples

  • Minimize the client’s and Private Bank’s exposure to risk by observing suitability policies and by monitoring and communicating changes in the client’s financial condition as well as industry and economic trends
  • 3+ years of client-facing experience in wealth management or related industries
  • Spanish and/or Portuguese a plus
97

Investment Advisor Assistant Resume Examples & Samples

  • Assist Investment Advisors with processing and confirming client transactions
  • Assist with servicing existing clients
  • Perform additional administrative duties as required
  • Completion of CSC and CPH; Registered Representative (RR) licensing approval with IIROC an asset
  • 1-3 years of related experience, with a well-rounded knowledge of the securities industry
  • Excellent organizational skills, with a strong attention to detail
  • Demonstrated ability to meet deadlines and multi-task
  • Ability to work independently, and effectively with employees and clients at all levels
  • Demonstrated ability to take initiative
  • Knowledge of Dataphile an asset
98

VP, Investment Advisor Supervision Resume Examples & Samples

  • Series 7, 24, 53 and 66 required, or need to be obtained within 120 days of hire
  • 10+ years of relevant experience, with background in investment advisory business
  • Strong knowledge of the Investment Company Act and Investment Advisor’s Act of 1940
99

Investment Advisor Resume Examples & Samples

  • Bachelor’s degree or the equivalent in work experience
  • 1+ years with financial services & investment industry in a service minded, sales role
  • Proven consultative sales skills approach with a desire for continuous improvement demonstrated by receptiveness of coaching and feedback
  • Proven ability to manage time and effectively prioritize responsibilities in order to consistently hit goals
  • Self-motivated and likes to be challenged on a daily basis with a strong desire to achieve consistent results
  • Ability to work well in a high impact team environment
  • Passion for building relationships with each and every client
  • Possess the Series 65 or Series 7 & 66 licenses
  • Contact center experience preferred
100

Investment Advisor Resume Examples & Samples

  • Working closely with Investment Service Managers to provide an advice-led solution to existing clients
  • Guiding customers through the investment and financial planning solutions available through Barclays
  • Establishing thorough client plans, reacting to and developing new opportunities from client contacts, ensuring appropriate provision of products and services both directly and via product specialists
  • Taking responsibility for taking clients through an on-going risk profiling process to ensure the chosen portfolio meets their risk appetite and is best placed to assist them in achieving their financial goals
  • Maintaining and developing client relationships and provide investment advice within the UK regulatory framework
  • Identifying, developing and securing new client relationships through referrals from the Relationship Managers
  • Contribution to idea generation, product development and the ongoing enhancement of the investment proposition
  • An in-depth understanding and experience of the Financial Services Industry, particularly in the areas of regulated financial planning specialising in Investments, Pensions and Estates and Trusts
  • Understanding the risks associated with financial planning; in particular, the relationship between customer attitudes to risk and the suitability of financial solutions recommended, and the ability to demonstrate integrity and adherence to compliance policies and procedures
  • Providing a proactive bespoke service as agreed with clients, which requires strong communication and influencing skills (both written and spoken) with the ability to compile highly developed presentations, recommendations and review reports with a view delivering to clients personally
  • Being of graduate calibre with the appropriate investment qualifications – RDR (Retail Distribution Review) level 4 minimum required
101

Investment Advisor Research Associate Senior Resume Examples & Samples

  • Knowledge of the organization's industry group, trends, directions, major issues, regulatory considerations, and trendsetters; ability to apply this knowledge appropriately to diverse situations
  • Knowledge of the investigation, evaluation, interpretation, and classification of business data; the ability to collect, identify, analyze and interpret business data using various kinds of techniques to meet business needs and requirements
  • Knowledge of techniques and tools that promote effective analysis and the ability to determine the root cause of organizational problems and create alternative solutions that resolve the problems in the best interest of the business
  • Knowledge of and ability to help an organization adapt to applicable federal, state, local, and company-specific regulations, policies, and guidelines affecting business practices
102

PW & Cc-investment Advisor Resume Examples & Samples

  • Working closely with the Relationship Managers and clients, providing active and strategic advice on investments
  • Continually seeking to control risks and to enhance the investment returns in line with financial market developments
  • To be cognizant and be compliant with regulatory requirements and the Bank's policy
  • Adequate client facing experience and strong Analytical Skills
103

Investment Advisor Resume Examples & Samples

  • Providing Wealth Management and Investment Advice to NAB and JBWere clients
  • Speak, present & educate NAB Bankers on the products and services that JBWere offers
  • Build and manage a successful portfolio of clients from internal leads
  • Proactively manage risk
  • Degree qualified with a minimum of 4 years FS experience
  • Existing experience as an Associate investment advisor would be ideal
  • Wealth Management and Investment Advice background is mandatory
  • Understanding of JBWere business services & structure
  • ASX Market Experience and RG146 Certification
  • Strong interpersonal skills and a high degree of empathy in building and maintaining relationships
104

Investment Advisor Center Rep Resume Examples & Samples

  • Performs standard/routine investment administrative functions
  • Responds promptly and appropriately to member telephone and other forms of communications inquiries (e.g. account status, address change requests, password resets; updating member files; disbursing checks)
  • Executes first call resolution requiring research, follow-up, or return response which may include redirectingcalls to higher skilled NFFG staff or NFCU business unit for appropriate response
  • Documents and maintains client accounts, to ensure all required forms, signatures, change orders are recorded and in conformity with regulatory authorities and NFFG and Navy Federal processes
  • Identifies and investigates processing discrepancies; researches and resolves trade rejections and errors, and collaborates with CCFSR II/IIIto communicate actions taken to clients
  • Contacts referrals and performs preliminary screening of potential clients to determine scheduling appointments with CCFSR II/IIIs
  • Maintains forms, supplies, and correspondence
  • With guidance from Contact Center registered team member(s), performs investment/insurance administrative servicing support appropriate to account portfolios
  • Maintains compliance logs, log receipts, reviews for accuracy and files appropriately
  • Participates actively in NFFG local marketing efforts to include appropriately cross-servicing and promoting awareness through member conversations and communications
  • Assists field Financial Advisors, who are not supported by Financial Service Coordinators or Associates, and more senior CCFSRs with account maintenance, and reporting activities
  • Distributes and/or processes of all member statements from brokerage and mutual fund companies, reviews statements for accuracy, takes remedial actions, and files them appropriately
  • Contacts members with house and/or self-advisory accounts who have debit balances and determines appropriate actions to resolve delinquencies
  • Assists supervisor and higher level CCFSRs with preparing standard or adhoc reports by gathering/consolidating data for management reviews or internal/regulatory audits
  • Collaborates with senior level CCFSRs to research/resolve moderately complex client concerns/inquiries
  • Maintains regulatory required registration (FINRA) in good standing if they are registered. Completes continuing education requirements including Firm and Regulatory Elements
  • Performs other duties as assigned or appropriate
  • Knowledge of Navy Federal policies, procedures, products, and services
  • Knowledge and understanding of NFCU programs, services and organization, and their relationships
105

International Investment Advisor Resume Examples & Samples

  • To provide a first class financial planning service based on analysis of financial needs and risk position from client activity
  • To take clients through an on-going risk profiling process to ensure the chosen portfolio meets their risk appetite and is best placed to assist them in achieving their medium and long term financial goals
  • To use their extensive experience and knowledge identify and provide solutions to a wide range of client needs including investments, banking, credit, FX and wealth structuring (trusts etc), whilst showing appreciation for the lifestyle and financial priorities of our international clients
  • To maintain and develop client relationships and provide investment advice within the UK regulatory framework
  • To contribute to the to the team commercial goals and the delivery of sustainable returns via provision of appropriate (suitable) investment advice to clients
106

International Investment Advisor Resume Examples & Samples

  • Providing a first class financial planning service and taking clients through an on-going risk profiling process to ensure the chosen portfolio meets their risk appetite and achieves their financial goals
  • Identifying and providing solutions to a wide range of client needs including investments, banking, credit, FX (Foreign Exchange) and wealth structuring (trusts etc.)
  • Interacting with Product and Group partners and ensuring the delivery of an exceptional client experience
  • Significant interaction with key stakeholders from across the business including banker teams, wealth advisory and investment services, to name a few
  • An in-depth understanding and experience of the Financial Services Industry and an understanding of the risks associated with financial planning
  • High integrity and adherence to compliance policies and procedures
  • Strong communication and influencing skills (both written and spoken) with the ability to compile highly developed presentations
  • Being of graduate calibre and will preferably include industry qualifications to Retail Distribution Review (RDR) level 4 minimum or equivalent
107

Senior Investment Advisor Resume Examples & Samples

  • Be the centre of competence on financial markets
  • Deliver the bank view and asset allocation to clients and Client Advisor
  • Deliver DB investment solutions to clients and CAs (DPM, WAM, Funds, etc..), including investment proposals
  • Review constantly the clients portfolios
  • Partner with the client advisors in covering clients and where appropriate develop direct client coverage model
  • Responsibility of the overall revenue generation on the respective book in a scalable and efficient way
  • Support Client Advisors in Net New Asset generation process
  • Proactively leverage product specialists whenever appropriate
  • Awareness of compliance and regulatory requirements, tracking & monitoring investment suitability
  • Ownership of investment process (from initiating to closing)
108

Assistant Investment Advisor Resume Examples & Samples

  • Manage trading of equities, options, and mutual funds within client portfolios
  • Work closely with other team members to process trades on a daily basis and maintain desired cash levels
  • Execute market orders and respond to client enquiries promptly and accurately
  • Ensure accurate and timely post-execution allocation, confirmation, and reporting of all portfolio security trades
  • Work with traders, brokers, and the back office to identify, investigate and resolve portfolio discrepancies and market settlement problems
  • Maintain current knowledge of, and comply with, all compliance regulations, securities laws, risk & confidentiality requirements and the TD Codes of Conduct & Ethics
  • Verify and correct any errors or omissions in daily transaction summaries
  • Ensure satisfactory resolution of client enquiries and take ownership of coordinating responses with other branches/departments as necessary
  • Provide market quotes and track dividends, RSPs, RIFs
  • Ability to effectively multi-task under pressure in a fast-paced environment, while maintaining attention to detail
  • Proficient with firm software & MS Office Suite – high proficiency with excel
  • Mathematically and technically inclined
109

Trust Investment Advisor Resume Examples & Samples

  • Seven or more years of investment experience
  • Thorough understanding of investment management
  • Strong knowledge of finance, economics and general business
  • Ability to effectively present investment strategies to clients
  • Excellent interpersonal and verbal and written communication skills
110

Compliance Examiner Investment Advisor Resume Examples & Samples

  • Review investment adviser, mutual fund and other marketing materials and communications with customers (including electronic communications) for compliance with applicable rules and to ensure best practices
  • Assist with required SEC and NFA-related regulatory filings (e.g., Section 13, Form PF, CPO-PQR, CTA-PR, etc.) and assist with gathering data for other regulatory filings (e.g., Form ADV)
  • Assist Chief Compliance Officer in administering and testing of compliance policies and procedures, including transactional and forensic testing
  • Assist with ongoing surveillance, review, and analysis of activities to identify potential compliance violations and recommend enhancements
  • Analyze and prepare responses to compliance inquiries from prospects, clients, and regulators
  • Assist with administration and monitoring of compliance policies and procedures and activities related to alternatives and private funds
  • Participate in other projects, as assigned
  • Minimum of 3 years experience involving compliance for registered investment advisers and registered investment companies
  • Understanding of federal and state regulations applicable to investment advisers
  • Understanding of investment adviser products and operations
  • Strong conceptual and critical thinking skills
  • Ability to accurately and concisely summarize complex information
  • Ability to cooperate in a team environment
111

Investment Advisor Representative Resume Examples & Samples

  • Possess the Series 65 or Series 7 & 66 licenses or obtain Series 65 within 6 months of hire date as a condition of employment
  • Working knowledge of Salesforce is helpful A Clean U-4
  • An objective, conflict-free model centered around our valuable clients No limit model that works for the masses, not just the ultra-high net worth client
112

Senior Finance & Investment Advisor Resume Examples & Samples

  • Work with the Value Chain Specialist to address finance and investment priorities related to value chain development and innovative solutions for impacts along selected value chains related to improved post-harvest handling and storage; market linkages; trade facilitation; and other activities that promote value chain competitiveness
  • Contribute to GEEL competitiveness benchmarking activities comparing strengths and weaknesses with competitors targeting the same market using an investment and financing lens
  • Support activities to increase access to financing for large and medium-term lending and working capital, including for traders, processors, manufacturers, equipment and agro-input providers
  • Work with financial institutions to develop products and services that can expand their customer base to GEEL target regions and value chains, this can include strengthening the financial institution operations and technologies to enhance quality and access to financial services
  • Lead the design and implementation of technical assistance interventions to promote increased investment, trade expansion and facilitation of commercial partnerships
  • Facilitate and broker relationships between project promoters/entrepreneurs and prospective investors
  • In collaboration with other GEEL staff, lead efforts to design, formalization, and management of innovative PPPs, with a focus on partnerships focused on strengthening supply chains and investments in agriculture infrastructure and services
  • Oversee other access to finance and investment promotion activities as needed
  • S/he will contribute to the cross-cutting goals of the program
  • At least a Masters’ degree in business, economics, or other relevant field (or, alternately, a Bachelor’s degree in a relevant field and 15 additional years of relevant experience)
  • Minimum 6 years implementing complex economic growth assistance projects in developing countries; of which three years was overseas in a management position that involved supervising staff, and of which one year must be working experience in/on fragile or post-conflict states
  • Technical experience in areas such as investment analysis, deal origination, structuring and financing, private equity, public-private partnerships, and financial products and services, including those that are sharia compliant
  • Experience working collaboratively with host country governments and the local private sector, and coordinating activities with those of other donors
  • Experience managing culturally diverse teams and working with counterparts from other cultures
  • Excellent oral and written English language communication skills
113

Investment Advisor Resume Examples & Samples

  • The role holder will be responsible for advising clients on various investment ideas based on the suitability to their risk profile, return expectation, asset allocation, liquidity needs etc. viz. Portfolio Management Services, Structured Products, Bonds, Mutual funds (Equity and Debt), Direct Equities, Private Equity Funds etc. The clients would include Business Owners, Family Offices, Corporate Treasuries, HNIs/UHNIs and NRIs
  • The role holder will be expected to carry out quarterly/ annual portfolio review and analysis of the client's investment portfolio to ensure that the investments are inline with the client's expectations and risk profile. The role holder is also expected to ensure record keeping of various documents, details etc required as per internal policies / Advisory regulations
  • The role holder will take active part in the tactical asset allocation discussion forums to jointly arrive at house views across asset classes and appropriate investment strategies
  • The role holder will also be expected to carry out product provider due diligence and product selection across multiple asset classes/product category (including, but not limited to, vanilla and structures equity and debt instruments as well as Mutual funds and alternative investment funds)
114

VP Investment Advisor & Product Compliance Resume Examples & Samples

  • Assist the CCO in the development, maintenance, and oversight of the rules and regulations of the Investment Advisers Act of 1940 and other applicable regulations
  • Evaluate the impact of potential changes driven by the industry, marketplace, or legal environment to determine the relevance to WRI’s policies and procedures
  • Provide leadership for investment advisory/product compliance team and establish a motivational climate to promote continuous learning
  • Collaborate with business area leaders supporting investment advisory/product compliance activities to sustain and strengthen compliance with the FINRA, SEC and other regulatory agencies through the design, implementation and periodic review of the compliance program
  • Participates in the development of departmental budget. Identify staffing issues, current volumes, forecasts for anticipated volumes and related operational expenses to implement annual objectives/performance improvements. Approve expenses within established limits
  • Participate as a member of the FAD Product Review Committee to reasonably ensure compliance with all applicable rules and regulations. Establish ongoing dialogue with various FAD teams to coordinate development of investment advisory related programs and services as well as broker/dealer products
  • Administer WRI’s Code of Ethics program and personal trade review process for covered access persons. Evaluate escalated issues for determination of appropriate resolution and action
  • Assist CCO in overseeing the supervisory controls testing and corrective action plans for WRI’s investment advisory/product business
  • Review, maintain, develop, and implement, as necessary, WRI’s investment advisory policies and procedures
  • Administer and complete WRI’s annual 206(4)(7) risk assessment analysis
  • Oversee the Form ADV Part 1 and Part 2 process to ensure that timely filing of updates, maintenance, and distributions occur
  • Perform as a subject matter expert for investment advisory/product compliance activities for WRI
  • Identify and assist in implementing improvements for compliance processes, including the development and/or upgrade of technology and tools
  • Manage and initiate communication to field leaders concerning compliance and regulatory issues and policies/procedures
  • Other responsibilities as assigned by CCO
  • Minimum eight years compliance experience, with a minimum of four years investment advisor experience
  • Series 7, 24, and 66 (or 63 and 65) required