Investment Advisor Resume Samples

The Guide To Resume Tailoring

Guide the recruiter to the conclusion that you are the best candidate for the investment advisor job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

Craft your perfect resume by picking job responsibilities written by professional recruiters

Pick from the thousands of curated job responsibilities used by the leading companies

Tailor your resume & cover letter with wording that best fits for each job you apply

Resume Builder

Create a Resume in Minutes with Professional Resume Templates

CHOOSE THE BEST TEMPLATE - Choose from 15 Leading Templates. No need to think about design details.

USE PRE-WRITTEN BULLET POINTS - Select from thousands of pre-written bullet points.

SAVE YOUR DOCUMENTS IN PDF FILES - Instantly download in PDF format or share a custom link.

Create a Resume in Minutes

E Cormier

Effie

Cormier

6878 Gibson Estate

Phoenix

+1 (555) 323 5016

6878 Gibson Estate

Phoenix

Phone

p +1 (555) 323 5016

Experience Experience

Los Angeles, CA

Investment Advisor Assistant

Los Angeles, CA

Homenick, Collins and Hintz

Los Angeles, CA

Investment Advisor Assistant

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

Los Angeles, CA

Investment Advisor

Los Angeles, CA

Jaskolski-Berge

Los Angeles, CA

Investment Advisor

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

present

Boston, MA

Senior Investment Advisor

Boston, MA

Schaden-Ratke

present

Boston, MA

Senior Investment Advisor

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

Education Education

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

Create a Resume in Minutes

15 Investment Advisor resume templates

Read our complete resume writing guides

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

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

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

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

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

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

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

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

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)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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)

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

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

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

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

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

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

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

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

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

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

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

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)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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)

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

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

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

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

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

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

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

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)

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Download Investment Advisor Resume Sample as Image file

Related Job Titles

Investment Resume Sample

Investment Banking Resume Sample

Investment Professional Resume Sample

Chief Investment Office Resume Sample

Investment Operations Resume Sample

Investment Management Division Resume Sample

Investment Finance Resume Sample

Investment Consultant Resume Sample

Investment Product Manager Resume Sample

Investment Compliance Resume Sample

Senior Investment Resume Sample

Analyst Investment Resume Sample

Browse More

Investment Advisor Resume Samples

The Guide To Resume Tailoring

Craft your perfect resume by picking job responsibilities written by professional recruiters

Pick from the thousands of curated job responsibilities used by the leading companies

Tailor your resume & cover letter with wording that best fits for each job you apply

Resume Builder

Resume Builder

15 Investment Advisor resume templates

Read our complete resume writing guides

How to Tailor Your Resume

How to Make a Resume

How to Mention Achievements

Work Experience in Resume

50+ Skills to Put on a Resume

How and Why Put Hobbies

Top 22 Fonts for Your Resume

50 Best Resume Tips

200+ Action Words to Use

Internship Resume

Killer Resume Summary

Write a Resume Objective

What to Put on a Resume

How Long Should a Resume Be

The Best Resume Format

How to List Education

CV vs. Resume: The Difference

Include Contact Information

Resume Format PDF vs Word

How to Write a Student Resume

Private Client Direct Investment Advisor Resume Examples & Samples

Investment Advisor, RBC Dominion Securities Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Investment Advisor Assistant Contract Resume Examples & Samples

Investment Advisor Team Head CPB Alpha Group Resume Examples & Samples

Investment Advisor Switzerland Resume Examples & Samples

APA Investment Advisor Resume Examples & Samples

Senior Investment Advisor Resume Examples & Samples

Investment Advisor Trainees Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Associate Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Investment Advisor Compliance AVP Resume Examples & Samples

Investment Advisor Associate Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Senior Investment Advisor Resume Examples & Samples

Investment Advisor Assistant, Wood Gundy Resume Examples & Samples

AFA Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Service Desk Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Financial Advisor Ii / Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Senior Private Client Investment Advisor Resume Examples & Samples

VP, Investment Advisor Testing Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Investment Advisor Compliance Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Investment Advisor WM Greece Resume Examples & Samples

Marketing Manager, Investment Advisor Support Resume Examples & Samples

Licensed Investment Advisor Holliswealth National Branch Resume Examples & Samples

Investment Advisor for External Asset Manager Desk Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Assoc Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Investment Advisor WM Resume Examples & Samples

Investment Advisor Resume Examples & Samples

WM Investment Advisor Resume Examples & Samples

Investment Advisor Wealth Management Resume Examples & Samples

Senior Investment Advisor Resume Examples & Samples

International Investment Advisor Resume Examples & Samples

Senior Private Client Investment Advisor Resume Examples & Samples

Uhnw CEE Investment Advisor Resume Examples & Samples

Investment Advisor Resume Examples & Samples

Associate Investment Advisor Resume Examples & Samples

Associate Investment Advisor Resume Examples & Samples

AFA Investment Advisor Resume Examples & Samples

How to Make
a Resume

50 Best
Resume Tips

200+ Action
Words to Use

Internship
Resume