Investment Advisory Resume Samples
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Investment Advisory Resume Samples
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DS
D Stamm
Deshawn
Stamm
6005 Roberts Burgs
Houston
TX
+1 (555) 336 4457
6005 Roberts Burgs
Houston
TX
Phone
p
+1 (555) 336 4457
Experience
Experience
New York, NY
Receptionist International Investment Advisory
New York, NY
Treutel LLC
New York, NY
Receptionist International Investment Advisory
- Assisting with processing of Branch expenses
- Manage Branch filing and record keeping
- Contributing to Branch Compliance procedures by
- Managing and ensuring cost effective ordering of Branch supplies
- Incoming / outgoing courier deliveries
- Updating office directories
- Contributing to efficiency of Branch Operation procedures by
Houston, TX
Investment Advisory Platform Development Manager
Houston, TX
Sipes-Cassin
Houston, TX
Investment Advisory Platform Development Manager
- Defining and managing the process for Investment Advisory Program user acceptance testing, including defect management
- Partnering with MSG leaders to establish the strategic direction and offerings for MSG, guiding the direction of the platform and setting the strategic roadmap
- Lead release events, make critical decisions around production readiness, defect deferral and prioritization of resources
- Independently manage, assess and prioritize issues impacting the Investment Advisory Program
- Provide final business signoff for both UAT and production releases
- Develop strategy for coordinating functional and regression test teams to ensure proper coverage, including the hand off of mature functionality to off shore resources
- Provide statistical visibility in to the progress of each release through defect tracking and testing dashboards
present
Phoenix, AZ
Investment Advisory Trading Team Lead
Phoenix, AZ
Kshlerin, Ward and Kunde
present
Phoenix, AZ
Investment Advisory Trading Team Lead
present
- Assist with daily/weekly workload planning and volume forecasting by gathering, tracking and analyzing incoming volumes
- Provide training for new processes or projects as well as new employee training
- Address and document employee issues identified on the floor in a timely and professional manner, keeping the department manager apprised of egregious behavior
- Participate in the selection and interviewing of potential candidates
- Assist with testing of system updates
- Monitor Investment Advisory account reports to ensure they are worked according to procedures
- Coordinate bi-monthly team meetings
Education
Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
Florida Atlantic University
Bachelor’s Degree in Finance
Skills
Skills
- Functional knowledge of ERISA issues
- Familiarity with regulatory processes (SEC and FINRA)
- Experience in working with mutual funds (Investment Company Act of 1940) and other pooled investment vehicles
- Experience in drafting disclosure documents and contracts
- Experience in new product processes
- Specific experience with issues arising under the Investment Advisers Act of 1940 and related federal securities laws
- 10 years of experience in investment management law
- Exposure to technical investment issues
- Corporate governance skills
- Disclosure and contract drafting skills
13 Investment Advisory resume templates
Read our complete resume writing guides
1
Private Wealth Management Investment Advisory Group Portfolio & Market Strategy Resume Examples & Samples
- 7-10 years of asset allocation analyst or related experience
- 4-year undergraduate degree in business, finance, economics or other similarly analytical concentration
- Broad knowledge of investment and market-related concepts
- Expert technical systems knowledge
2
Tax Manager National Tax Tax Credit Investment Advisory Services Resume Examples & Samples
- Demonstrate understanding of the real estate industry and tax credits, particularly with regard to modeling low-income housing tax credit and renewable energy tax credits
- Collaborate in writing reports to corporate clients in a clear and professional manner.’
- A bachelor's degree and approximately 5 years of related work experience; or a graduate degree and approximately 4+ years of related work experience
- A bachelor's degree, preferably with an emphasis in accounting, finance, or a related field (an advanced degree in tax or law is highly desirable)
- Strong financial modeling skills, particularly with regard to modeling tax credit transactions
- Exceptional writing ability
- Exceptional multitasking ability
- Candidates must also be willing and able to travel, as necessary
3
Investment Advisory Platform Development Manager Resume Examples & Samples
- Partnering with MSG leaders to establish the strategic direction and offerings for MSG, guiding the direction of the platform and setting the strategic roadmap
- Identify gaps in platform offerings by understanding competitors’ platforms as well as additions/revisions identified by Advisory, Research, or reduce risk
- Prioritize and evaluate next generation platform enhancements, partnering with Technology, Investment Management & Guidance, Advisory, Risk and Compliance to evaluate critical needs for immediate focus
- Collaborate with Technology and other internal partners to identify platform issues, and enhance the user interface and interaction experience
- Lead a team of business analysts that are responsible for; development of business requirements, wireframe design, elaboration with technologists, oversight of the testing plans and management of budgets and milestones
- Collaborate to prioritize future platform enhancements/revisions so that critical updates that reduce risk are released timely
- Leverage creative and strategic problem solving skills to develop innovative solutions
- Lead and influence cross-functional teams where there is no direct reporting relationship
- Build relationships and gain consensus with key partners and clients
- Minimum 8-10 experience in Financial Services
- Substantial experience in a senior platform or product development position, with increasing level of responsibility
- Knowledge of Managed Account platforms and products required
- Strong leadership experience with demonstrable
4
Wealth Management Compliance Investment Advisory Monitoring & Testing Officer Resume Examples & Samples
- Designing and conducting tests that confirm the businesses are complying with their own policies and procedures
- Preparing reports on the results of all tests
- Work with business to identify ways to enhance procedures
- Maintain schedule of tests, and provide metrics relating to test results
- Participate in special projects relating to Consulting Group businesses
- In depth knowledge of back office and operational systems
- Experience conducting internal audits, exams or tests
- Familiarity with investment advisory programs
- Ability to translate complex policies into testable scripts
- Solid interpersonal and communication skills, as well as excellent prioritization and organizational ability
- The ideal candidate will be proactive, possess good judgment, be solution-oriented and a team player
- Familiarity with Investment Advisers Act
5
Compliance Manager for Registered Investment Advisory Programs Resume Examples & Samples
- 2-5+ years of registered investment adviser compliance/legal experience at a law firm or in-house at a financial services company
- Minimum of 7+ years of financial services industry work experience
- Experience with FINRA regulations, Securities Act, Advisers Act, Investment Company Act a strong plus but not required
- BA/BS degree is required
6
Investment Advisory Platform Development Manager Resume Examples & Samples
- Defining and managing the process for Investment Advisory Program user acceptance testing, including defect management
- Provide statistical visibility in to the progress of each release through defect tracking and testing dashboards
- Manage business testing activities for all releases of the Investment Advisory Program across multiple environment, test cycles, and applications
- Independently manage, assess and prioritize issues impacting the Investment Advisory Program
- Maintain close relationships with development managers, application developers, technology program managers, and engineering to establish timelines, synchronize testing activities, monitor and report progress, determine and socialize environment availability, and determine business readiness schedules
- Coordinate testing between the business team, lines of business, vendors, including the solicitation and organization of resources based upon the specific needs of each release
- Lead release events, make critical decisions around production readiness, defect deferral and prioritization of resources
- Ensure that all necessary test data is available for each step of the process
- Provide final business signoff for both UAT and production releases
- Develop strategy for coordinating functional and regression test teams to ensure proper coverage, including the hand off of mature functionality to off shore resources
- Collaborate with all stakeholders to develop detailed requirements, architecture, coding, and testing timelines to support aggressive delivery dates
- Manage the lifecycle of functional validation through multiple environments; including the organization of new test infrastructure to support the pace of Investment Advisory Program deliverables
- Strong leadership experience with demonstrable success owning and leading roll out of a major investment advisory platform or initiative
- Posting Date: 12/08/2014
7
Investment Advisory Resume Examples & Samples
- 5-10 years' experience, specifically in managed account operations, specifically in advisory billing
- Coaching and developing advisory billing team
- Able to work with teams located in multiple locations
- Troubleshoot and research issues
- A strong grounding in the fundamentals of project management is essential. Understanding of the Development Lifecycle (Build, test and implement)
- Create test plans for the new systems/processes that are developed
- Continue to update detailed workflows/procedures of processes
- Conduct meetings on training and development to support the administration and operations
- Strong problem solving skills. Individual must plan, direct and coordinate risk and exposure
- Applicant must be self-motivated and have the ability to work without supervision
- Rethink and reconfigure current processes, constantly strive to improve current process
- Commitment to service excellence and leading the department to deliver excellent service Assist with issues related to new strategies and product introduction, as it pertains to account set-up, compliance and workflow
- Able to communicate with all levels at the firms regarding escalated and sensitive issues
- Responsible for reporting monthly numbers to management
- Responsible for updating training material posted on-line (including BGAP's, procedures, WSP's and workflows)
8
Investment Advisory Platform Business Analyst Resume Examples & Samples
- Partner with subject matter experts and business leads across the organization to understand business requirements
- Write technical business requirements; responsible for initial through final drafting
- Socialize requirements with business partners, legal/compliance partners and other business analysts
- Elaborate business requirements with technology and manage closure of open issues
- Organize and track closure of Advisor inquiries and feedback
- Research feedback on system performance related issues and implement solutions
- Manage relationship with technology and business partners
- Substantial experience in business requirement development
- Minimum 4-5 years experience in Financial Services
- Knowledge of Managed Account platforms and products
- Excellent written and verbal communication and organizational skills
- Proficiency with Excel, Word, PowerPoint and similar applications
- Ability to work effectively in a team environment while achieving individual goals
- Highly self motivated
- Ability to multi-task and work in a fast-paced team environment
- High level of attention to detail
- FINRA licenses 7 & 66, or able to obtain within 120 days
9
Alternative Investment & Advisory Project Associate Resume Examples & Samples
- Define and execute change agenda by partnering with senior stakeholders (eg: Business, Technology and Operations) to define and prioritize initiatives
- Perform diagnostics/analysis to identify platforms/procedures that require enhancement/streamlining and identify ways to make them more effective
- Lead and direct project activities, meetings, understand dependencies, and manage timelines
- Manage issues and decisions to timely resolution. Communicate with senior management teams to escalate/resolve project conflicts & needs
- Manage a cohesive plan across all work streams, ensuring a coordinated approach when utilizing client service individuals for input, testing, etc
- Create detailed and comprehensive business requirements documents
- Knowledge of Wealth Management products and services
- Problem solving skills: The candidate must have the ability to identify complex risks early and develop actionable mitigation plans
- Analytical skills: The candidate must be highly analytical with experience in using objective data to drive strategic recommendations
- Communications skills: The candidate must be able to concisely explain complex issues. The candidate must also possess strong written and oral executive-level communications skills
- Client management and teamwork skills: The candidate must have demonstrated ability in being flexible and working with stakeholders and colleagues at all experience levels. Experience of engaging and influencing senior leaders within the organization is essential
- Project management skills: The candidate must have the ability to create practical and comprehensive implementation plans and partner with all levels of management and stakeholders to gain consensus. Experience of managing multiple projects or engagements and their associated budgets is essential
- Must possess college degree; MBA is desirable but not a pre-requisite
- Experience driving change in an Operations organization is required
- Experience working in a wealth management organization is highly desirable
10
Investment Advisory Compliance Coverage Officer Resume Examples & Samples
- Develop a comprehensive understanding of the various investment advisory programs
- Provide regulatory compliance advice to the Consulting Group business in support of various investment advisory programs
- Assist the business with the development of policies, procedures and other controls in connection with advisory programs
- Assist with testing of advisory programs
- Provide advice relating to marketing disclosures and performance marketing
- Strong organizational and verbal and written communication skills
- Ability to partner with senior business representatives
- Functional knowledge of rule governing advisory accounts
- 10+ years in financial services, particularly investment advisory
11
Receptionist International Investment Advisory Resume Examples & Samples
- Ensuring high level of client service
- Answering main switchboard and relaying messages as required
- Greeting Clients
- Booking all external and internal boardroom calendars
- Ensuring boardrooms are tidy & prepared for all meetings
- Ordering catering as required
- Contributing to efficiency of Branch Operation procedures by
- Updating office directories
- Incoming / outgoing courier deliveries
- Managing weekly mailings to offshore locations
- Managing and ensuring cost effective ordering of Branch supplies
- Assisting with processing of Branch expenses
- Update & distribute Branch calendar
- Contributing to Branch Compliance procedures by
- Daily review of incoming / outgoing mail
- Managing security access cards
- Responsible for Floor Fire Warden activities
- Manage Branch filing and record keeping
- 2-3 years of administrative experience
- Excellent written and verbal communication skills in English and Spanish
- Must have extreme attention to detail
- Exhibits sound judgment and discretion
- Superior organization skills with the ability to prioritize time-sensitive tasks
- Brokerage experience preferred
12
Administrative Associate International Investment Advisory Resume Examples & Samples
- Ensure a high level of client service by
- Reviewing the portfolio to ensure it meets the current or updated risk profile and aligns with applicable investment program
- Gathering research & product information from internal and external sources
- Entering client trades as directed by client or Advisor
- Remaining up to date with all the regulatory rules and trading activities as it relates to client accounts
- Following up with clients on missing documentation required as per the industry regulatory requirements
- Checking daily trades and all system entries in accounts for timelines and accuracy
- Responding to client inquiries in a timely, responsive manner
- Resolving issues and effecting client transactions expeditiously and accurately, escalating issues to Advisor when appropriate
- Issuing instructions for client withdrawals, deposits, swaps and transfers according to client or Advisor instructions
- Ensuring all client interaction is accurately documented
- Identifying opportunities to gather additional assets and/or increase revenue within the existing client base (i.e. referrals, consolidation of assets, insurance, etc…)
- Developing, distributing and maintaining marketing materials
- Managing the approval process for all marketing and mass communication
- Managing the Bank referral process
- Assisting in idea generation
- Providing recommendations for improvement to business processes, additional value to clients, and utilization of our Team of Experts
- Contribute to the effective functioning of the branch team by
- Maintaining a high level of customer service
- Facilitating a culture of open and honest communication
- Ability to take initiative and work independently
- Ability to meet deadlines
13
Administrative Associate Intl Investment Advisory Resume Examples & Samples
- Supporting advisor in the regular review of clients’ portfolios to identify client needs for Team of Experts services
- Ensure effective client administration by
- Maintaining client files and information of the appropriate systems
- Understanding the required documentation for all client account types
- Provide marketing assistance to the Advisor by
- Organizing client events, including lunch & learns, seminars, client appreciation
- Maintaining or co-ordinating electronic marketing
- Supporting the growth of the Advisor by
- Reviewing and reducing all restricted accounts
- Reviewing the daily commission reports and follow up on unpaid commissions
- Tracking the Growth Bonus payments and follow up
- Preparing, analyzing, and presenting reports and recommendations, financial plans/concepts, insurance, annual trading summary etc. to the Advisor for review
- Understanding of industry and firm compliance regulations
- Ability to take direction from advisor(s) on client trading activity
- Canadian Securities Course (CSC) , Conduct and Practices Handbook (CPH)
- Investment Representative Training (IRT)
- Post-Secondary degree
14
Head of Investment Advisory Consulting Resume Examples & Samples
- Individually and as a team, develop a fluency in all Advisory products and platforms offered at UBS. Be able to effectively articulate our overall UBS Advisory value proposition
- Set the strategic direction and initiatives to meet overall team stated goals
- Set targets and objectives for direct reports and develop a process to effectively measure these goals
- Ensure the team has a comprehensive understanding of the entire WMA Advice & Solutions product offering with a predominate focus on Advisory with the goal of increased net new money, asset and revenue growth
- Partner with field leaders to communicate the Advisory value proposition and be able to advise FAs as to the potential practice management benefits compared to their current business model
- The team is expected to provide general guidance and analysis around the investment consulting process (client profiling, asset allocation/portfolio construction, implementation and client review) and to effectively integrate the Advisory product offering
- Build a visible presences in the field and across A&S to effectively collaborate across WMA to drive overall strategic initiatives
- Further develop core relationships with targeted 3rd party partners to help drive awareness of the advisory platforms
- Pursue ongoing development and delivery of sales and product training throughout geographic territory
15
Investment Advisory Portfolio Consultant Resume Examples & Samples
- Develop a fluency in all Advisory products/platforms products offered at UBS. Be able to effectively articulate our overall UBS Advisory value proposition
- Build comprehensive understanding of the entire US WMA Advice and Solutions product offering with a predominant focus on Advisory with the goal of increased net new money, asset growth, and revenue growth
- Communicate the Advisory value proposition and be able to advise FAs as to the potential practice management benefits compared to their current business model
- Develop and present advisory sales content via conference calls and/or in-person sales meetings
- Provide general guidance and analysis around the investment consulting process (client profiling, asset allocation/portfolio construction, implementation and client review) and to effectively integrate the Advisory product offering
- Advise financial advisors on practice management- how to effectively run an advisory business and navigate platform migration/logistics
- Build rapport with FAs and proactively address needs by providing meaningful insights, and suggestions on a FAs book of business or individual client relationships
- Develop key partnerships throughout the firm to ensure a network of strong working relationships across all of UBS
- Integrate knowledge of products and services from other business groups to identify cross selling opportunities
- Provide proactive outreach calls regarding strategic opportunities and targeted outbound campaigns
16
Investment Advisory Resume Examples & Samples
- Day-to-day legal support for Consulting Group investment advisory, including the drafting of disclosure documents and client and manager agreements as well as issues relating to trading, best execution, soft dollars/28(e), trade allocation, investment allocations, client fee structures and cross-trading
- Ability to work directly with clients and their counsel on issues relating to contracts, suitability, etc. Experience with institutional clients preferred
- Experience in dealing with relevant regulators, especially the S.E.C
- Experience with pooled investment vehicles (mutual funds, collective trust funds, etc.) and investment advisory issues related to such vehicles
- Conversant in general investment issues – able to interface effectively with investment personnel on technical issues
- Ability to liaise with other Legal Dept. areas (especially ERISA team) as well as Compliance and Risk
- 10 years of experience in investment management law
- Experience in working with mutual funds (Investment Company Act of 1940) and other pooled investment vehicles
- Background in internal asset management function (experience as in-house counsel for an asset management or mutual fund firm preferred)
- Familiarity with regulatory processes (SEC and FINRA)
- Exposure to technical investment issues
- Corporate governance skills
17
Wealth Management Senior Investment Advisory Resume Examples & Samples
- Day-to-day legal support for Consulting Group investment advisory, including direct product legal support, the drafting of disclosure documents and client and manager agreements as well as issues relating to trading, best execution, soft dollars/28(e), trade allocation, investment allocations, client fee structures and cross-trading
- Experience with governance structure and issues (e.g.- investment committee meetings)
- Conversant in general investment issues – able to interface effectively with investment personnel and Financial Advisors on technical issues
- 10-15 years of experience in investment management law
- Specific experience with issues arising under the Investment Advisers Act of 1940 and related federal securities laws
- Background in internal asset management function (experience as in-house counsel for an asset management or mutual fund firm helpful)
- Experience in drafting disclosure documents and contracts
- Experience in new product processes
- Functional knowledge of ERISA issues
- Disclosure and contract drafting skills
18
Investment Advisory Solutions Business Referral Program Manager Resume Examples & Samples
- Daily product management and development responsibilities to streamline and grow Advisory business referral program, AdviceLink
- Assist with re-engineering AdviceLink processes including FA applications, database management, billing reconciliation and quarterly reporting
- Ensure appropriate monitoring of all maintenance associated with AdviceLink Program, including FA / Solicitor state registration and licenses, payment contracts, billing execution, paperwork and database records
- Develop AdviceLink sales and marketing materials to reach a broader audience of Financial Advisors with the goal of increasing firm net new money
- Partner with the A&S risk management team to help report, maintain, track and remediate all risk related items across the AdviceLink business
- Partner with field leadership to administer the firm's advisory pricing policies
- Assist advisors in pricing advisory business appropriately for the services provided
- Support and drive key strategic/tactical initiatives across all Advisory programs
- LI-PRIORITY
- LI-JP1
19
Senior Business Analyst Investment Advisory Resume Examples & Samples
- 5+years of experience as Business Analyst
- Experience in Financial Services industry and good understanding of Wealth Management/Advisory concepts
- Experience with front-end processing/functionality
20
Investment Advisory Associate Resume Examples & Samples
- Well organized and able to handle multiple deliverables simultaneously
- Proven team player with the ability to work well in a group
- Prior experience servicing investment advisors and/or institutional investors a plus
- Excellent technical skills (Word/Excel/PowerPoint)
- 2+ years investment related experience within an analytical or research context
21
BB&T Securities Streetside Investment Advisory Support Representative Resume Examples & Samples
- Conduct the account creation, maintenance, cashiering and non-solicited trading functions of Investment Advisory accounts for which BB&T Securities serves as custodian
- Interact with and take instructions from clients and advisors regarding servicing client brokerage needs
- Serve as Registered Representative of specified advisory accounts for which BB&T Securities serves as custodian
- Performs daily departmental activities in adherence to procedures and regulatory requirements
- Resolve complex issues relating to daily departmental activities and client needs
- Contributes ideas for new processes and procedures to improve operating efficiency and ensure timeliness and accuracy of workflow
- Assist management with planning and implementation of future initiatives
- Bachelor’s degree or equivalent education and related training/experience
- At least 3 years’ experience within a sales support role with direct client contact
- Proven people management skills
- Ability to work in a fast paced, professional team environment
- Well developed customer service, interpersonal and organizational skills
- Demonstrated analytical, problem-solving and documentation skills
- Proficient in Microsoft Office and internet-based applications
- Series 7 Financial industry Regulatory Authority (FINRA) Registered Representative
- Series 63 FINRA State License
- Experience in a Discount Brokerage environment
- Experience in a Registered Investment Advisory environment
22
Licensed Branch Administrator International Investment Advisory Resume Examples & Samples
- 1) Lead and manage all branch support staff by
- Providing on-going coaching and employee development, performance management, guidance, motivation and support to all staff (incl. Offshore)
- Providing ongoing employee recognition by recognizing and rewarding success
- Resolving issues/negotiate compromises between support staff and advisor or other team members
- Resolving employee issues and working with Employee Relations as required
- Semi-annual and annual PAR’s
- Finalizing annual objective setting and development plans
- Managing workloads focusing on operational efficiency
- Working with Manager Administration in support of International Investment Advisory Strategy
- Planning and facilitating support staff meetings
- Building a culture of high performance and continuous improvement
- Developing Relationships with both internal and external partners
- 2) Recruiting and Training/HR Administration
- Recruiting, hiring, terminating support staff both in Toronto and for offshore locations
- Co-ordinating the set up and on-boarding of all new staff
- Liaise with GWM HR, International Bank HR and local country HR for new hire requirements
- Adhering to local country HR requirements for probationary reporting and annual PAR process
- Providing on the job training for new employees both in Toronto and for offshore locations (support & advisors)
- Responsible for all HR administration and employee records
- Tracking CE requirements for Toronto and offshore locations
- 3) Manage the quality and efficiency of branch operations by
- Managing the cage operations and ensure it runs smoothly on a daily basis
- Managing the Assistant Branch Administrator and delegate accordingly
- Managing branch facilities and security access to branch
- Working to resolve any issues on systems that have been escalated by Branch Systems Assistant (BSA) or other staff
- Managing the departure of an advisor and support staff by working with BM to allocate clients to other advisors, generating letters to clients in an effort to retain clients (time sensitive)
- 4) Manage and implement firm and regulatory policies and procedures
- Ensuring branch adherence to privacy and anti-money laundering requirements
- First point of contact for account documentation
- Review all account documentation for QI/AML compliance, ensure compliant
- Maintain all branch compliance files including Annual Compliance Review
- Maintain Business Continuity Plan
- Acting as the branch contact for internal audit
- Authorize and monitor trade corrections
- Effectively communicate and implement policies, procedures, new systems, new initiatives and organization changes (co-ordinate with Manager of Administration)
- Run New Issue Book
- Manage the Wire Approval Process
- Approving and managing all branch expenses (eg. supplies etc.)
- Review and process all documentation for compliance
- 5)Supporting the Advisors by
- Resolve commission related inquires
- Providing advice and support HR Support Staff related issues
- Assisting in optimum functioning of the team
- Minimum 5 years in the Investment Industry
- Strong management skills
- Strong interpersonal skills when interacting with both staff and external clients
- Ability to meet deadline
- Knowledge of Microsoft systems: Word, Excel and PowerPoint
- Previous industry experience
- Previous experience ii a Support Staff position preferred
- Some supervisory experience
23
Sales Assistant Investment Advisory Resume Examples & Samples
- SE Series 7 and 66 licenses and additional licensing as needed
- Proficient in software applications (ex. Microsoft Word, Excel.)
- More than 2 years experience in the financial services industry required
- Self -starter
- Ability to communicate with co-workers and clients
24
Team Leader, Investment Advisory Resume Examples & Samples
- Helping to determine the strategic direction of the program
- Managing the program on a day-to-day basis
- Collaborating with a cross-divisional group of leaders and associates to address issues related to the program
- Identifying program enhancements and aiding in design, development, testing and implementation
- Understanding and addressing external factors that impact the program and our clients
- Developing associates on the team to better serve our clients and increase talent depth
25
Wealth Management Compliance Investment Advisory Operational Coverage Resume Examples & Samples
- Working with the Compliance testing team to identify key operational functions to test and to help design effective testing protocols
- Provide compliance advice to the operational units
- Work with operations to confirm that policies and procedures exist and are properly designed
- Work closely with the other IA compliance subject matter experts to determine whether current operational processes can support current and/or proposed changes to the IA programs
- Participate in special projects relating to Consulting Group businesses
- To provide regulatory and compliance advice and guidance to the operational units supporting the Consulting Group (CG)business, as well as to the Regulatory Examination Group, the Early Dispute Resolution Unit, and Risk Units
- Advise the CG business in connection with the planning and implementation of the product development process - GPC-NPA Process/NPA Checklist
- Review CG BRDs to confirm that operational processes are designed consistent with agreed to controls
- To review the adequacy of existing policies and procedures of the operational units supporting the CG business and, if appropriate, recommend and help implement improvements in those areas
- To understand and assess the implications of regulatory initiatives affecting operations for the CG business, and to assist in the implementation of new initiatives and controls
- Work with the Monitoring and Testing teams to create/enhance tests and surveillance processes
- Leading key projects and strategic initiatives relating to regulations/rules for specific products or business services
- In depth knowledge of back office and operational systems
- Experience conducting internal audits, exams or tests
- Familiarity with investment advisory programs
- Solid interpersonal and communication skills, as well as excellent prioritization and organizational ability
- Familiarity with Investment Advisers Act
26
Wealth Management Investment Advisory Compliance Coverage Officer Resume Examples & Samples
- Act as CCO for the GIS UIT
- Assist the CGCM Funds CCO, including conducting due diligence of third-party managers. Some travel required
- Provide regulatory compliance advice to the Consulting Group in support of various investment advisory programs
- Participate in special projects and committees relating to Consulting Group businesses, including projects that have an impact across all or multiple programs
- 7+ years in financial services, particularly investment advisory
- Functional knowledge of rules governing advisory accounts
27
Investment Advisory Manager Research Analyst Resume Examples & Samples
- 4+ years of experience as an Analyst in an Investment Management firm
- Familiarity with Hedge Funds and Private Investments
- Exceptional quantitative skills
- Solid problem solving and analytical skills
28
Director, Investment Advisory Oversight Resume Examples & Samples
- Series 7, 24, 53 and 66 required, or need to be obtained within 120 days of hire
- 5+ years of relevant experience, with background in investment advisory business
- Strong knowledge of the Investment Company Act and Investment Advisor’s Act of 1940
29
Investment Advisory Call Support Representative Resume Examples & Samples
- Three to five years of experience in investment operations activities
- Licensing may be required
- Strong understanding of investments operations, including manual and automated processes, procedures and systems
- Well-developed interpersonal, verbal and written communication skills
- Ability to manage multiple task/projects and deadlines simultaneously
- Excellent computer skills, especially Microsoft Office applications
- Strong planning, problem-solving and organizational skills
30
Wealth Management Investment Advisory Attorney Resume Examples & Samples
- Day-to-day legal support for Consulting Group investment advisory business, including the drafting of disclosure documents and client and manager agreements as well as issues relating to trading, best execution, trade allocation, operational issues, principal trading rules, investment allocations, client fee structures and cash solicitation rules
- Working with various areas of the business on new product and tool development, including digital
- Working directly with clients and their counsel on issues relating to contracts, suitability, etc
- Dealing with relevant regulators, especially the S.E.C
- Interacting with other Legal Dept. areas (especially ERISA team) as well as Compliance and Risk
- 5 years or more of experience with issues arising under the Investment Advisers Act of 1940 and related federal securities laws
- Conversant in general investment issues – able to interface effectively with investment personnel on technical issues
- Experience in drafting disclosure documents and contracts
- Experience in new product processes
- Familiarity with regulatory processes (SEC and FINRA)
- Understanding of the evolving nature of digital investment products and related digital investment advice tools, especially automated investment platforms
- Understanding of regulatory landscape applicable to digital investment advice
- Functional knowledge of ERISA issues as they relate to investment advisory products
31
Am-wmis-private Investment Advisory Associate Resume Examples & Samples
- A proven track record of demonstrating project management skills, including multiple, highly complex initiatives
- Demonstrated ability to research, analyze and create tactical and strategic solutions
- Analytical skills, ability to synthesize raw data into actionable insights to drive business results and analyze trends
- Strong communication skills with experience in articulating factual and conceptual information in written and verbal format
- Meticulous organizational skills and attention to detail
- Knowledge of investments
- Understanding of asset management, mutual fund and/or wrap programs
- Strong interpersonal skills, comfort in working with different audiences
- Be a team player who is easy to work with, shows commitment and dedication, and can maintain both a positive attitude and high level of performance on high demand/time-sensitive initiatives
32
Wealth Management Compliance Investment Advisory Testing Officer Resume Examples & Samples
- Conduct testing of processes and controls supporting the Firm’s Investment Advisory platform
- Develop test scripts to support test objective
- Conduct meetings with IA program management to discuss test objective, issues identified and remediation plans
- Preparation of final report inclusive of issues and action plans
- Coordinate and consult with IA Chief Compliance Officer on testing results
- Perform closure verification for identified issues
- Must possess strong computer, organizational and time management skills
- Prior audit and/or testing experience required,
- Strong knowledge of the Investment Advisers Act of 1940,
- Excellent written and verbal communication skills,
- Series 7 and 65 or 66 preferred but not required
- Familiarity with testing standards and guidelines
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S&P Investment Advisory Services Summer Internship Resume Examples & Samples
- Permanent U.S. work authorization
- An undergraduate degree in Business Administration, Marketing or Economics related field preferred
- Junior currently enrolled at an accredited college or university; minimum 3.2 GPA
- Advanced knowledge of Excel and basic PowerPoint
- Problem-solving, time-management, and organizational abilities
- Participants will be expected to work well within a team and demonstrate exceptional learning agility, creativity, and problem solving ability
- Strong communication ( verbal skills, listening techniques, and clear/concise writing style)
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Investment Advisory Group Associate Resume Examples & Samples
- CFA Candidate
- Experience with Factset
- Experience with data analytics
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Investment Advisory Trading Team Lead Resume Examples & Samples
- Monitor Docupace and Envestnet work queues throughout the day to ensure trade deadlines are met and use good judgement to make any necessary adjustments
- Responsible for making decisions in the absence of department manager on day-to-day departmental needs
- Participate in the selection and interviewing of potential candidates
- Provide leadership, motivation and development of workforce
- Assist with Tier 2 resolution via phone and email for home office and field employees
- Monitor Classic Operations emails to ensure 2 hour SLAs are met and correct responses are provided
- Monitor Investment Advisory account reports to ensure they are worked according to procedures
- Analyze internal and external error data to determine the root cause of commonly made errors, identify training opportunities and define opportunities for process improvement
- Assist with daily/weekly workload planning and volume forecasting by gathering, tracking and analyzing incoming volumes
- Address and document employee issues identified on the floor in a timely and professional manner, keeping the department manager apprised of egregious behavior
- Proficient and knowledgeable of all functions within the department
- Coordinate bi-monthly team meetings
- Review and update employee’s time cards for accuracy on a bi-monthly basis
- Escalate attendance and performance issues to manager in a timely manner
- Assist with quarterly 1:1 for team members
- Gather information for Monthly Employee Recognition Program, Perfect Attendance, and Quarterly Employee Incentive program
- Review procedures quarterly for updates and accuracy
- Create new procedures, job aides, field memos and client letters as needed
- Provide training for new processes or projects as well as new employee training
- Assist with testing of system updates
- Participate in Disaster recovery exercises
- Bachelor’s degree or equivalent combination of education/experience
- 2-3 years of experience in financial services/broker dealer operations
- Able to lead and motivate a team
- Attention to detail and solid organizational skills
- Demonstrated task management skills
- Ability to make sound decisions within the scope of the position and seek management direction when decisions require senior level approval
- Demonstrate initiative
- Arrive on time and use your knowledge of critical dates related to the team and our business in order to schedule appointments & vacation time appropriately
- Support the team during required overtime
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Gcg-investment Advisory Content Specialist Resume Examples & Samples
- Help develop and execute a digital-first Advisory content strategy for Citi’s house view communications (e.g. Market Insights, Investor education) across APAC region (incl. EMEA)
- Write and edit regular web-based and print investment commentary for affluent clients and relationship managers (RM)
- Develop and write compelling presentation materials for client briefings and RM training
- Develop and write education material for RM and investor education for digital first delivery
- Build and foster strong relationships with country advisory teams and with other regional and country business and support functions
- Manage projects to deliver and amplify investment insights across digital/social media
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Investment Advisory Trading Associate Resume Examples & Samples
- Committed to providing the highest level of customer service
- High level of critical thinking skills and ability to make decisions based on information given instead of set procedures
- Good interpersonal skills, team player
- Strong problem solving and decision making skills to analyze problems and provide appropriate resolutions
- Solid written and communication skills
- Ability to work in a fast paced environment under frequent deadlines and short turnaround times
- High level of dedication to productive and quality
- Has the ability to work under time constraints
- Demonstrates sound organizational and follow-through skills
- Shows initiative and has the ability to work with minimal supervision
- Willing to work overtime at any time with little notice
- Able to adapt to a changing environment and stressful situations with high work volumes
- Eager to accept new responsibilities and challenges and accepts change
- Regular and predictable attendance
- Ability to work occasional overtime based upon work volume
- Six months experience with the Envestnet trading system at minimum
- Proficient with Microsoft Windows suite of products , speficially Excel and Word
- Data entry (alpha-numeric) (6,000 Keystrokes Per Hour)
- Proficient with 10-key by touch (8,000 Keystrokes Per Hour)
- Strong math aptitude
- High school diploma or equivalent, College degree preferred or 2-3 years’ experience in the Financial Services industry
- Minimum of six months in department as an Investment Advisory Trading Associate
- Financial industry experience required
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Investment Advisory Analyst Resume Examples & Samples
- Undergraduate or master’s degree from a leading university, preferably in a quantitative, finance or economics discipline
- Proven record of strong academic achievement; additional qualifications such as a CFA
- Understanding of capital markets and investments and a strong interest in financial markets
- Experience in a high performing environment
- High service-orientation
- Attention to detail; well-organized and diligent
- Possess a high level of energy and natural intellectual curiosity
- High level of integrity, discretion and maturity
- Can handle multiple tasks simultaneously, meet deadlines, work independently and take initiative
- Ability to think and operate internationally
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Investment Advisory Associate Resume Examples & Samples
- Excellent technical skills (Word/Excel/PowerPoint/ Morningstar/Bloomberg/Salesforce)
- Bachelor degree; candidates for CFA, CIMA and/or attainment of the designations preferred
- 2+ years investment related experience within an analytical and relationship support context
- Requisite FINRA securities license(s) preferred
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Manager, Investment Advisory Supervision Resume Examples & Samples
- Bachelor’s preferred
- SERIES 7 & 24 required
- SERIES 66 (or 63 and 65) required within 180 days
- Previous work experience with SEC, FINRA or a SEC registered investment advisor required
- Strong knowledge of the Investment Advisor’s Act of 1940
- Prior experience with Rule 206(4)7 risk assessments, testing surveillance, supervision, for dual registrants wrap fee programs
- Ability to identify, evaluate, and mitigate risk in connection with firm registered investment advisers
- Knowledge of FINRA, SEC and state regulations
- Knowledge of financial services products
- Good research, investigative and interpretation skills
- Ability to research and interpret new rules and regulations
- Strong attention to detail, data analytics, and project management skills
- Strong knowledge of MS Office and other relevant computer applications
- Working knowledge of WealthScape, Envestnet, Protegent
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Manager, Investment Advisory Compliance Unit Resume Examples & Samples
- Manages staff and has accountability for personnel actions,including hiring, performance management, compensation, training and development, discipline, and termination
- Maintains unit policies and procedures and is responsible for updates to the Investment Adviser Compliance Guide
- Acts a subject matter expert on all advisory compliance processes and functions; assists in resolving escalated or complex issues
- Oversees the review of exception reports for patterns of sales practice issuesor violations of SEC and firm regulations
- Manages the daily and periodical oversight and analysis of trading activity and other activities of registered representatives
- Resolves complex or escalated issues
- Keeps abreast of new regulations and compliance matters;ensures that all regulatory and compliance requirements are met
- Contributes to the planning and budgeting process by providing data analysis and recommendations
- Coordinates responses to audit or regulatory requests
- Ensures unit maintains compliance with books and records requirements
- Acts as a subject matter expert and represents the unit at meetings
- Responsible for user acceptance testing of new systems and system upgrades
- Strong knowledge of financial services products, asset management platforms, and financial planning software
- Demonstrated ability to motivate, train, and managestaff, including the abilityto delegate
- Knowledge of and ability to administer personnel actions including performance and salary reviews, hiring, discipline and termination
- Demonstrated ability to make effective decisions
- Experience with the Microsoft suite of business applications, including proficiency with Microsoft Excel
- Bachelor’s degree or equivalent
- 5 - 8 years of compliance experience preferred with a minimum of 3 years of advisory experience
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Chief Compliance Officer, Investment Advisory Resume Examples & Samples
- Serve as the Investment Advisory Chief Compliance Officer for Janney Montgomery Scott LLC (“Janney”) and Janney Capital Management LLC (“JCM”)
- Manage and implement the investment advisory (IA) compliance programs for Janney and JCM, including facilitating the risk assessment and annual compliance review, preparing the annual review report, establishing and implementing investment advisory compliance and surveillance processes, testing, and consulting with firm personnel where appropriate
- Enhance and maintain investment advisory policies and procedures and disclosures
- Research new rules and regulations and implement appropriate policies and procedures
- Design and enhance appropriate surveillance systems to monitor investment advisory activities
- Develop and maintain an ongoing compliance education program and provide training to firm personnel
- Maintain the firm’s investment adviser registration, including filing ADV amendments
- Prepare and file other regulatory forms/reports, as applicable
- Serve as a member of key firm governance committees
- Perform mock SEC audits and facilitate SEC staff investment advisory compliance audits, as well as Wealth Management-related regulatory examinations from other regulators
- Coordinate with Wealth Management staff on products and services to maintain appropriate policies for the firm
- Report to and support the Deputy General Counsel in handling investment advisory legal and compliance matters
- Provide support to the Deputy General Counsel with respect to regulatory issues and filings, including under state and federal law and other potential federal regulation
- Provide leadership and management to the Investment Advisory Compliance team. Assist the Deputy General Counsel with implementing proper training and professional guidance to ensure that the team maintains high performance standards and knowledge of all relevant laws, rules and regulations; and
- Participate in key industry trade associations, committees and working groups and maintain collaborative relationships with relevant regulators, including the SEC and FINRA
- Strong service orientation and ability to establish and maintain effective working relationships with peers, business units, leaders, and outside business partners
- Ability to manage and work collaboratively in a team environment
- Prior experience working for mid to large size financial institution is preferred
- Excellent oral and written communication skills, including the ability to communicate detailed and complex information to others at all levels of the organization; and
- Service 7 license preferred but not required
- Self-motivated with high level of attention to detail
- Minimum 7+ years Investment Advisory Compliance experience, preferably as a Chief Compliance Officer or other Senior Compliance Officer
- Previous regulatory experience or management experience is preferred
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Internship Wealth Management Investment Advisory India Resume Examples & Samples
- Project note to senior management on the regulatory requirements and what is expected out of Investment Advisors(Bank)
- Competition analysis – how many and which Banks plan to embrace the subsidiary model
- Cost of setting up a subsidiary – time costs, man hours, project teams require, IT architecture and costs involved etc
- Structure and model – which subsidiary should it be part of SCSI or SCILL?
- Cost vs Benefit analysis – including sensitivity analysis
- Pursuing graduation or post graduation
