Investment Specialist Resume Samples
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Investment Specialist Resume Samples
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DG
D Gleason
Deshaun
Gleason
659 Stiedemann Drive
San Francisco
CA
+1 (555) 236 8787
659 Stiedemann Drive
San Francisco
CA
Phone
p
+1 (555) 236 8787
Experience
Experience
New York, NY
Territory Manager Investment Specialist
New York, NY
Daugherty, Brown and Christiansen
New York, NY
Territory Manager Investment Specialist
- Leading and supporting the execution of the Investment Specialist Value Proposition
- Proactively developing and leading business development activities to achieve and exceed targets, customizing initiatives for success based on expertise of the local market, financial conditions and advisor incumbents
- Clearly defining roles, responsibilities and expectations while communicating market area business plans to assigned Investment Specialists
- Working with Investment Specialists to develop and execute against their individual business plans; providing insight and guidance to Investment Specialists in support of their business development activities
- Ensuring monthly and quarterly analysis and reporting of results are prepared accurately and in a timely manner, creating and delivering ongoing and consistent measurement and reporting of business activities key Investment Specialist stakeholders
- Leading talent & people management initiatives and activities for the assigned market area by
- Supporting Investment Specialist recruitment strategies, ensuring alignment with business strategies as well as elements unique to the market area
Los Angeles, CA
Regional Director Investment Specialist
Los Angeles, CA
Grant Group
Los Angeles, CA
Regional Director Investment Specialist
- Managing the budget planning for the assigned market area to support business development strategies and tactics
- Identifying key business contacts, establishing and sustaining mutually beneficial relationships with these Centres of Influence
- Monitoring the quality of business development activities, prospects, and portfolio growth
- Leading collaboration & relationship building initiatives across the assigned market area by
- Developing annual business development plans, budgets and balanced scorecard for the assigned market area
- Providing ongoing feedback and recognition; recognizing performance and managing non-performance
- Leading the execution of sales management strategies and initiatives for the assigned market area by
present
Detroit, MI
Regional Director, Investment Specialist
Detroit, MI
McGlynn, Kunze and Paucek
present
Detroit, MI
Regional Director, Investment Specialist
present
- Sales and market strategies
- Sales and business planning budgets/targets
- Delivery of sales coaching, training and recognition
- Performance measurement and reporting; and
- Investment Specialist recruitment
- Developing short and medium term market strategies for assigned market area, in support of strategic business objectives, by
- Developing a clear vision and business strategy for the assigned market area, aligned with the overall Investment Specialist vision and Wealth Management and Canadian Banking strategic priorities
Education
Education
Bachelor’s Degree in Accuracy
Bachelor’s Degree in Accuracy
California State University, Fullerton
Bachelor’s Degree in Accuracy
Skills
Skills
- Communicate effectively
- Strong computer skills with an ability to multitask in a fast paced environment
- Ability to adapt and seek solutions for customers in a fast-paced environment
- Capable of effectively operating in a team oriented and highly collaborative environment
- Excellent interpersonal, leadership and oral/written communication skills
- Capable of multi tasking and working efficiently under stress and high volume
- Previous knowledge of client account services
- Demonstrated passion and interest in financial markets
- Proven ability to meet and exceed productivity and quality monitoring goals
- Financial services industry experience
15 Investment Specialist resume templates
Read our complete resume writing guides
1
Global Investment Specialist Resume Examples & Samples
- In depth experience and/or knowledge of hedge funds, private equity and alternative investments
- Able to execute trades smoothly and seamlessly and tasked with managing brokerage activity
- Sales experience including: profiling, overcoming objections, negotiation, team selling approach, closing the sale and asking for referrals
- Conducts operations within FINRA and other regulatory agency guidelines and requirements
- Demonstrated understanding of wealth management including, but not limited to: credit, deposits, trust and financial planning
- Ability to work in a team based environment
2
Client Investment Specialist Resume Examples & Samples
- Investment Advisory/Consulting: Oversee and manage the effective provision of Russell investment and advisory services to assigned clients on all aspects of investment related issues. Maintain high levels of client satisfaction and ensure timely delivery to agreed deadlines. Take a proactive stance with clients aimed at understanding, and where appropriate, pre-empting their needs. Seek in particular to leverage Russell wider investment expertise in addressing client needs. Lead client meetings on defined subjects and play a significant role in meetings with broader agendas. Work closely with the overall Russell relationship manager where assigned and with specialist research and investment management teams across Russell
- Support GTM team in New Business Growth: Take a material role in new business presentations and meetings alongside GTM colleagues. Formulate investment content within materials in response to RFP requests and develop a concise persuasive articulation of Russell capabilities to match client and prospect needs. Engage directly with prospect opportunities as agreed wtih GTM team
- Client Responsibility: Able to lead client meetings on defined subjects and play a significant role in meetings with broader agendas
- Management: contribute to the professional development of the Middle East GTM team in investment content specific to Russell Investment proposition, including Market Outlook, Portfolio positioning, Manager insights etc
- Professional Development: maintain an understanding of current themes and developments in the Industry, specifically relevant to the Middle East investors (SWFs, Government Agencies/Pension Funds, Islamic Investing etc)
- Significant Client Portfolio Management experience from within an asset management firm
- This role will require the individual to converse, discuss, design and implement complex investment theory with senior industry practitioners
- Experience in Investment decision making, from setting SAA to understanding individual manager strategies and the ability to communicate and convey those complex strategies to a broad range of individuals with or without financial knowledge
- Of particular relevance is experience in working in global, collaborative, cross-business teams where colleagues actively share knowledge and client information to expedite solutions
- Strong knowledge of investment finance and institutional investment industry
- Good understanding of the investment policy and strategy decision process for large institutional investors
- Excellent written and oral presentation/communication skills
- High level of client relationship and team skills, including ability to build client loyalty and satisfaction via a strong gravitas and approach to this work
- Ability to interpret results of quantitative methods and asset-liability modelling and communicate in simple terms
- Well-developed time management skills
- Listening skills that enable thorough understanding of client needs
- Self-starter and able to demonstrate initiative
- A flexible approach to work and able to work under pressure
- Quality focused and often looking for ways to make continuous improvement
- University undergraduate degree (Finance/Investment/Business) or equivalent qualification / equivalent experience
- Candidates who have passed, are studying or intending to study for CFA (or other finance related professional qualifications) will be preferred
- The incumbent of this position must be approved by the FCA to perform Controlled Funtion(s): CF30
- Fluent Arabic language skills
3
Regional Investment Specialist Resume Examples & Samples
- 3-5 years of prior work experience
- Investment product knowledge in the Wealth Management and/or Investment Management industries required
- Wholesaling of investment products a plus
- Experience in Managed Accounts, Mutual Funds and/or Alternative Investments
- Bachelor Degree Required
- Finra Series 7 & 66 (or 63 &65)
- Superior interpretive and problem solving skills
- Ability to operate in a complex matrix environment
- Microsoft Office Skills including Word and Excel
4
Uhnw Executive Wealth Group Private Bank-investment Specialist Associate Resume Examples & Samples
- Provides support to Investors in all facets. The Investor is responsible for helping the Banker win new clients, as well as deepen and strengthen existing client relationships through advising on investment solutions
- Assist with development of investment policy statements and advice on asset allocation
- Adhere to internal and external policies and procedures regarding securities transactions and code of conduct
- Coachable professional with good "business sense" and an energetic/dynamic personality
- Proficiency with Microsoft Office Suite (Word, Excel and PowerPoint) and Internet/Intranet
5
Private Bank-investment Specialist Associate Resume Examples & Samples
- Support coordination of sales effort with Investors
- Ability to work both independently and as a team player
- Ability to learn proprietary software and databases
6
Advicedirect Associate Investment Specialist Resume Examples & Samples
- 30% Client and Relationship Management
- First point of contact for P&C Branch inquiries
- Deliver unparalleled value and outstanding service to adviceDirect clients, answering client inquiries, educating potential clients regarding adviceDirect products and services
- Prepare/submit documentation for processing - new accounts, account changes, transfers, etc
- Investigate and resolve inquiries and complaints related to accounts and refer to the Investment Specialist where appropriate
- Preparation and maintenance of client documentation
- Develop and maintain daily/weekly/monthly metric reporting for the team
- Review and provide analysis of client data, recommending changes as necessary
- Organizational and administrative support for various client service initiatives
- Assist the Investment Specialist teams with client inquiries as needed
- Ensure unique set of advcompliance regulations are adhered to
- Follow security and safeguarding procedures and apply appropriate due diligence for the prevention of loss due to fraud, counterfeiting, money laundering or defalcation in accordance with Bank policy
- Excellent communication, organizational, time management, and listening skills
- Industry Accreditations or working towards preferred (CIM, CFA, CFP)
- Willingness to work towards RR licensing. At a minimum, IR licensed or successful completion of Canadian Securities Course, Conduct and Practices Handbook
- Work well under pressure and meet required deadlines
7
Investment Specialist Trainee Resume Examples & Samples
- Deliver exceptional service to clients by answering general account inquiries
- Accurately execute and confirm trade orders as well as a variety of securities and account transactions
- Quickly assess customer objectives and position solutions appropriately and effectively
- Research and resolve client requests
- Maintain current knowledge of Merrill Edge products, policies and services while keeping abreast of financial markets and regulations
- Grasp complex technical material quickly
- Communicate effectively
- Establish strong client relationships by exceeding client expectations and following through on commitments
- Demonstrate knowledge of investments and financial markets and apply key principles appropriately to the individual client's investment needs
- Uncover additional client needs, deepen existing relationships and refer clients to partner businesses
- Strong computer skills with an ability to multitask in a fast paced environment
- Requires basic knowledge of the organization, products and/or services
- Ability to adapt and seek solutions for customers in a fast-paced environment
- Bachelor’s degree, or 1-2 years relevant work experience
- Capable of effectively operating in a team oriented and highly collaborative environment
- Excellent interpersonal, leadership and oral/written communication skills
- Capable of multi tasking and working efficiently under stress and high volume
- Previous knowledge of client account services
- Demonstrated passion and interest in financial markets
- Proven ability to meet and exceed productivity and quality monitoring goals
- Financial services industry experience
8
Alternative Investment Specialist Resume Examples & Samples
- Process Client Subscriptions into funds
- Process Client Redemptions out of funds
- Process capital calls from client accounts to the Funds
- Update client statements for position valuations received from the fund
- Process Financial Advisor Compensation & fees
- Position transfers into/out of firm as well as across accounts
- Apply distribution monies received from the funds to the client accounts
- Reconcile firm accounts
- Reconcile all client positions & valuations
- Reconcile Financial Advisor Compensation
- Reconcile client distribution and redemption proceeds
- Prepare month end reports for accounting
- Prepare Key-Risk- Indicator metrics
- 3-5 years of experience in the financial services industry
- Proficient in the Microsoft suite of products (Excel, PowerPoint, Word, Access)
- Excellent written and verbal communication skills
- Ability to thrive in a fast paced and changing environment
- Proven ability to lead and manage others
- Proven ability to deliver on key projects
- Proven ability to deliver change
9
Investment Specialist Resume Examples & Samples
- Deliver exceptional service to clients by answering general account inquiries
- Accurately execute and confirm trade orders as well as a variety of securities and account transactions
- Quickly assess customer objectives and position solutions appropriately and effectively
- Research and resolve client requests
- Maintain current knowledge of Merrill Edge products, policies and services while keeping abreast of financial markets and regulations
- Grasp complex technical material quickly
- Communicate effectively
- Establish strong client relationships by exceeding client expectations and following through on commitments
- Demonstrate knowledge of investments and financial markets and apply key principles appropriately to the individual client's investment needs
- Uncover additional client needs, deepen existing relationships and refer clients to partner businesses
- Strong computer skills with an ability to multitask in a fast paced environment
- Requires basic knowledge of the organization, products and/or services
- Ability to adapt and seek solutions for customers in a fast-paced environment
- Bachelor’s degree preferred, or 1-2 years relevant work experience
- Capable of effectively operating in a team oriented and highly collaborative environment
- Excellent interpersonal, leadership and oral/written communication skills
- Capable of multi tasking and working efficiently under stress and high volume
- Previous knowledge of client account services
- Demonstrated passion and interest in financial markets
- Proven ability to meet and exceed productivity and quality monitoring goals
- Financial services industry experience
10
Territory Manager Investment Specialist Resume Examples & Samples
- Developing short and medium term market strategies for assigned market area, in support of strategic business objectives, by
- Participating in the development of the strategy for the Investment Specialist business development channel, using defined target client segments and available sales development strategies
- Developing a clear vision and business strategy for the assigned market area, aligned with the overall Investment Specialist vision and Wealth Management and Canadian Banking strategic priorities
- Developing annual business development plans, budgets and balanced scorecard for the assigned market area
- Developing and maintaining a thorough understanding of all proprietary investment products, services and team of experts
- Leading the execution of sales management strategies and initiatives for the assigned market area by
- Leading and supporting the execution of the Investment Specialist Value Proposition
- Proactively developing and leading business development activities to achieve and exceed targets, customizing initiatives for success based on expertise of the local market, financial conditions and advisor incumbents
- Clearly defining roles, responsibilities and expectations while communicating market area business plans to assigned Investment Specialists
- Working with Investment Specialists to develop and execute against their individual business plans; providing insight and guidance to Investment Specialists in support of their business development activities
- Ensuring monthly and quarterly analysis and reporting of results are prepared accurately and in a timely manner, creating and delivering ongoing and consistent measurement and reporting of business activities key Investment Specialist stakeholders
- Leading talent & people management initiatives and activities for the assigned market area by
- Supporting Investment Specialist recruitment strategies, ensuring alignment with business strategies as well as elements unique to the market area
- Provide leadership and motivation to a team of Investment Specialists, through coaching, development, with a focus on retention and management of high quality talent
- Providing ongoing feedback and recognition; recognizing performance and managing non-performance
- Leading collaboration & relationship building initiatives across the assigned market area by
- Developing strong relationships and partnerships with the other leaders and sales managers across Wealth Management, Scotia iTRADE and Canadian Banking, and encouraging the same relationships for the Investment Specialists
- Collaborating with other Scotiabank sales management leaders in Canadian Banking and Wealth Management businesses on business development and Centre of Influence (COI) relationship building activities
- Identifying key business contacts, establishing and sustaining mutually beneficial relationships with these Centres of Influence
- Managing compliance / regulatory, risk management, operational & finance requirements for the assigned market area by
- Effectively managing tier one compliance and regulatory oversight for the assigned sales team members and market area
- Monitoring adherence to regulatory and internal Bank requirements; ensuring compliance, risk management and regulatory rules, guidelines, policies and standards are followed consistently
- Ensuring client complaints, claims, legal actions and regulatory reviews, examinations and investigations are handled effectively and corrective actions are implemented in a timely manner
- Monitoring the quality of business development activities, prospects, and portfolio growth
- Managing the budget planning for the assigned market area to support business development strategies and tactics
- Significant number of years of experience in the investment industry is a must, with a strong preference for wealth management and/or brokerage experience
- Expert sales management skills and advanced knowledge of sales techniques and prospecting
- Proven networking, client acquisition and interpersonal skills, with the ability to influence and motivate others
- Ability to establish and maintain a client-focused sales culture, through expert knowledge of client experience drivers
- Extensive knowledge of competitive and proprietary offerings, market trends, economic conditions, and the regulatory environment
11
Trust Investment Specialist Corporate Reorg & Action Cxrr Resume Examples & Samples
- May perform any or all of the following responsibilities
- Reconcile cash and asset positions on a daily, weekly, monthly or yearly basis
- Work with several layers of management to solve open exceptions or escalate an outstanding issue
- Perform peer to peer self-audits on daily, weekly and yearly work to insure full compliance with procedures
- Work with management to review and update procedures and provide feedback in regards to process improvements
- Create management reports to communicate outstanding items on a weekly and monthly basis
- May perform other duties upon request from management
- The incumbent works under general supervision
- Bachelor’s degree, or in lieu of a degree a minimum of four years combined higher education and relevant work experience
- Thorough knowledge of personal computers to include excellent MS Word and Excel skills
- Proven analytical and organizational skills
- Ability to independently research and resolve problems
- SEI Trust Accounting System experience
12
Asset Management Global Wealth Management Private Bank Ehnw Group Investment Specialist VP Baton Rouge 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
- 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
- Demonstrated understanding of wealth management including, but not limited to: credit, deposits, trusts and financial planning
13
Investment Specialist Resume Examples & Samples
- Perfect attendance is required during initial study period and training
- Series 7 is required. Series 63 or 66 is preferred. If not currently held, Series 63 must be obtained within 90 days
- Excellent customer service skills with the ability to actively listen to clients and demonstrate empathy
14
Investment Specialist Merrill Edge Start Date Resume Examples & Samples
- Deliver exceptional service to clients by answering general account inquiries
- Accurately execute and confirm trade orders as well as a variety of securities and account transactions
- Quickly assess customer objectives and position solutions appropriately and effectively
- Research and resolve client requests
- Maintain current knowledge of Merrill Edge products, policies and services while keeping abreast of financial markets and regulations
- Grasp complex technical material quickly
- Communicate effectively
- Establish strong client relationships by exceeding client expectations and following through on commitments
- Demonstrate knowledge of investments and financial markets and apply key principles appropriately to the individual client's investment needs
- Uncover additional client needs, deepen existing relationships and refer clients to partner businesses
- Series 7 is required. Series 63 or 66 is preferred. If not currently held, Series 63 must be obtained within 90 days
- Strong computer skills with an ability to multitask in a fast paced environment
- Requires basic knowledge of the organization, products and/or services
- Ability to adapt and seek solutions for customers in a fast-paced environment
- Bachelor’s degree preferred, or 1-2 years relevant work experience
- Excellent customer service skills with the ability to actively listen to clients and demonstrate empathy
- Capable of effectively operating in a team oriented and highly collaborative environment
- Excellent interpersonal, leadership and oral/written communication skills
- Capable of multi tasking and working efficiently under stress and high volume
- Previous knowledge of client account services
- Demonstrated passion and interest in financial markets
- Proven ability to meet and exceed productivity and quality monitoring goals
- Financial services industry experience
15
Investment Specialist, Bmo Investor Line Resume Examples & Samples
- Provides professional quality service and sales to clients
- Answers client inquiries regarding BMO InvestorLine products, services, account positions and balances
- Seeks, recognizes and acts upon sales/referral opportunities to expand business relationships with clients
- Accepts purchase/sale orders and provides stock quotes in a courteous, professional and knowledgeable manner
- Resolves issues and reports any discrepancies to Supervisor, Client Relationship Team or Manager, Client Relationship Team
- Provides input to the development and achievement of team objectives
- Works toward meeting productivity goals
- Acts independently within specific industry guidelines
- Flexibility with work assignments
- Full flexibility with work schedules
- Operates in multiple working relationships/partnerships/environments
- Fluent Bilingual in Cantonese and or Mandarin preferred
- Fluent in English required
- Valid Canadian Securities Course (CSC) (i.e. successful completion within the last 3 years or extension through the IIROC program)
- Goal and achievement orientated
- Exceptional telephone and communication skills
- General computer knowledge (Word, Excel, Windows)
16
Assistant Manager, Investment Specialist Resume Examples & Samples
- This position requires a thorough in-depth knowledge and understanding of the investment industry and BMO InvestorLine services and products. With exceptional customer service skills and leadership abilities, the Assistant Manager will assist and support a team of 12 to 15 IIROC licensed representatives
- Strong ability to interpret industry rules/regulations and apply them in client situations. The ability to take complex information (trading, compliance etc) and make it easy for clients to understand
- Support the creation and development of a fun and motivating work environment through coaching and team-building
- Language skills as per regional requirements
- Strong ability to seek, recognizes, and acts upon opportunities to expand business relationships with clients
17
Investment Specialist, Wealth Management Resume Examples & Samples
- University graduate in Finance or related discipline, preferably a CFA holder
- Five years of relevant experience working as portfolio counselor, fund manager, financial advisor, etc
- Good knowledge of investment products
- Knowledge of portfolio optimizing software
- Excellent command in English and Cantonese;conversant in Mandarin is a plus
18
Regional Director Investment Specialist Resume Examples & Samples
- Developing short and medium term market strategies for assigned market area, in support of strategic business objectives, by
- Developing annual business development plans, budgets and balanced scorecard for the assigned market area
- Developing and maintaining a thorough understanding of all proprietary investment products, services and team of experts
- Leading the execution of sales management strategies and initiatives for the assigned market area by
- Leading and supporting the execution of the Investment Specialist Value Proposition
- Leading talent & people management initiatives and activities for the assigned market area by
- Effectively managing tier one compliance and regulatory oversight for the assigned sales team members and market area
- Monitoring adherence to regulatory and internal Bank requirements; ensuring compliance, risk management and regulatory rules, guidelines, policies and standards are followed consistently
- Monitoring the quality of business development activities, prospects, and portfolio growth
- Managing the budget planning for the assigned market area to support business development strategies and tactics
- Expert sales management skills and advanced knowledge of sales techniques and prospecting
- Proven networking, client acquisition and interpersonal skills, with the ability to influence and motivate others
- Ability to establish and maintain a client-focused sales culture, through expert knowledge of client experience drivers
- Extensive knowledge of competitive and proprietary offerings, market trends, economic conditions, and the regulatory environment
19
Investment Specialist Resume Examples & Samples
- Post-secondary education in Business or related field
- Financial Planning Designation (PFP) or Certified Financial Planner (CFP)
- Mutual Fund License
- 3+ years of investment sales experience and financial planning
- Proven networking, client acquisition and interpersonal skills
- Advanced knowledge of practical sales techniques and prospecting
- Highly effective verbal and written communication skills
- Ability to work independently as a self-motivated entrepreneur with minimal supervision and also as part of a larger team
- Extensive knowledge of competitive offerings, market trends, economic conditions, and the regulatory environment
- An understanding of the Brokerage / Wealth Management and Online Brokerage environments
- A valid driver's license and access to a vehicle, in order to travel to meet clients and prospects within the designated district
- Second language an asset depending on target markets
20
Administrative Associate Investment Specialist Resume Examples & Samples
- 1) Key Administrative Responsibilities
- Responsible for all administrative duties in support of the Vice President, Investment Specialists. This includes, but is not limited to coordinating travel arrangements, calendar management, electronic and hard-copy filing, photocopying, faxing
- Support the Mobile Sales Force and Regional Director (RD) in the process of expense management including submission for approval of expense reports as required
- Coordinate the timely distribution of support materials to the mobile sales force
- Schedule and coordinate meetings including, booking meeting rooms, contacting catering, arranging conference call details etc., as necessary
- Prioritize incoming mail and arrange for courier / expedited outgoing mail as required
- Timely response to ad-hoc requests for information pertaining to mobile sales force
- Maintain the shared network drive ensuring systematic and orderly document management
- Liaison between Investment Specialist (IS) Head Office, mobile sales force, RDs and internal; support groups (i.e. Accounts Payable, Technology, SSI Operations, Oxford Property Management, WMBS, LP&C, SAM and Dynamic Funds teams)
- Proficiency in Microsoft Office suite with an emphasis on Excel
- Task Oriented
- Strong organizational skills with the ability to set priorities and manage time
- Strong interpersonal skills with all levels of employees
- High degree of accuracy and attention to detail required
- High level of discretion required in dealing with confidential matters
- Knowledge of Financial Services industry an asset
- Minimum 2 years of experience in an administrative role within a corporate office environment
21
Mutual Fund Investment Specialist Resume Examples & Samples
- Exemplary analytical, investment and quantitative skills applicable to equity and fixed investments as well as fund analysis and portfolio construction
- Experience working with registered fund products required
- Experience working with investment advisors and/or institutional investors
22
Investment Specialist Resume Examples & Samples
- Support the coordination, preparation, and timely delivery of reports and investment analytics
- Running Morningstar Hypothetical Illustrations and Profile Reports
- Supporting the Investment Analysts with ad-hoc projects
- Helping to Update Quarter End Deliverables
- Understanding of financial markets, investment concepts, and Modern Portfolio Theory (MPT) statistics
- Bachelors Degree required
- 2-5 years Investment experience required
- 2+ years experience running reports required
- Must have the ability to handle multiple projects simultaneously, and complete projects on a timely basis
- Desire to learn about various mutual fund managers, investment strategies, and asset classes
- Ability to learn investment analytical tools such as Morningstar Direct, MPI Stylus, PSN, and SimFund
- Detail oriented team player with excellent time management and organizational skills
- Ability to work independently as well as collaboratively with a wide range of internal business partners
- Highly motivated, flexible, and have the ability to work successfully in a fast paced, results oriented team environment
- Strong working knowledge of Microsoft Office, particularly Excel and PowerPoint, a plus
- FINRA Series 7 License preferred
23
Senior Investment Specialist Resume Examples & Samples
- University graduate in Finance or related discipline, preferably a CFA holder
- Five years of relevant experience working as portfolio counselor, fund manager, financial advisor, etc
- Strong communication and interpersonal skills
- Strong analytical skill
- Good knowledge of investment products Knowledge of portfolio-optimizing software
- Excellent command in English and Cantonese
- Conversant in Mandarin is a plus
24
Trust Investment Specialist Resume Examples & Samples
- Work with outside Investment Managers or internal traders to process and settle executed trades for our clients
- Perform settlement function with broker-dealers through the domestic depositories – DTC and Federal Reserve
- Record trade details on the internal Trust accounting system
- Resolve failing trades and research trade discrepancies
- Balance large transaction volumes and enter values in the Bank’s general ledger
- Answer trade related inquiries received via phone or group email
- Assist other team members with completing daily tasks
- Bachelor’s degree, or in lieu of a degree a minimum of four years combined higher education and relevant work experience
- Thorough knowledge of personal computers
- Experience using Excel and Word
- Excellent written and verbal communication skills
- Proven analytical and organizational skills
- Ability to independently research and resolve issues
- Solid knowledge of Trust regulations and securities related issues
- Experience with the Trust accounting system - SEI
25
Investment Specialist, Wealth Management Resume Examples & Samples
- Minimum 3 years of relevant working experience in servicing mutual fund clients and individual accounts. University degree preferred
- Good working knowledge of mutual fund market
- HKSI LE Paper 1, 7 & 8 or equivalent
- Proactive with good team spirit
- Excellent communications & interpersonal skills
- Good command of English, Cantonese & Mandarin
26
Merrill Edge Investment Specialist Training Resume Examples & Samples
- Series 7 and Series 63 is required; if not currently held,
- Excellent customer service skills with the ability to actively listen to clients and demonstrate empathy
- Capable of effectively operating in a team oriented and highly collaborative environment
- Excellent interpersonal, leadership and oral/written communication skills
- Capable of multi tasking and working efficiently under stress and high volume
- Previous knowledge of client account services
- Demonstrated passion and interest in financial markets
- Proven ability to meet and exceed productivity and quality monitoring goals
27
Investment Specialist, Call Center Resume Examples & Samples
- 60%: Service Oriented Client Support
- Service incoming phone calls and emails from clients in a professional manner within service level goals
- Demonstrate effective core competencies through each stage of a call by connecting with clients, asking open ended questions and listening to the needs of the client to uncover opportunities
- Execute trades on client account open request (e.g., the purchase of mutual funds or other brokerage products)
- Facilitate customer asset transfers into the bank and perform required account maintenance
- Provide general and specific information on accounts and products, transaction status, research reports, etc… upon request
- Respond to web navigation queries, assist online trade execution and provide basic technical assistance as required
- Account opening and account maintenance processing including working with clients to accurately and thoroughly complete appropriate required documentationas required
- Utilize client relationship management system to track sales activities and contacts
- 20% Deliver appropriate Investment Advice
- Review Know Your Client details, assess a client’s personal circumstances and make recommendations
- Create customized action plans for clients to build appropriate Investment Portfolios
- Provide additional research and context on Equity, Mutual Fund and fixed Income products; educate and simplify the -methodology used for clients
- Provide portfolio composition advice and market commentary when required
- Use superior judgement to develop and recommend Investment Strategies for clients to achieve desired goals such as fee minimization and specific life-based goals
- Individual may be required to specialize in certain product categories (i.e fixed income, annuities)
- 20%: Risk Management
- Maintain strong knowledge of target investment product and solutions, regulatory requirements, competitive trends to provide clients with credible advice
- Perform all sales and service activities in compliance with firm and regulator requirement and policies to mitigate risk to BMO Harris Financial Advisors
- Adhere to the sales practices and guidelines outlined in the Compliance Manual for BMO Harris Financial Advisors
- Conduct business based on the rules and regulations of the various entities that regulate the banking and brokerage industry (e.g. NASD, SEC, Federal Reserve, Internal Audit)
- Maintain accurate client records as required by the firm, regulatory authorities and the nature of the client relationship
- Maintain accurate transaction records as required by the firm, regulatory authorities and consistent with the products sold to the client
- Utilize approved sales and marketing literature to mitigate risks and exposure to BMO Harris Financial Advisors
28
Investment Specialist Resume Examples & Samples
- Assist advisors with building portfolios and with accounts out of drift
- Provide general education to advisors on stocks, bonds, ETFs and general investment questions
- Assist with providing ideas on product enhancements
- Provide insight into development of marketing/product materials
- Work with advisors to help with rebalancing and allocation changes
- Bachelor's degree or equivalent experience, plus 3+ related years of experience required. (General Investment Experience working with Mutual Funds, ETFs and other investment products.)
- Active FINRA Series 7 required
- Series 65/66 preferred. If you do not have active licensing, this must be obtained within 6 months from date of employment
- Investment background and ability to understand market/economic conditions required
- Solid written and verbal communication as well as organizational and time-management skills
- Good analytical skills and understanding of investments
- Ability to use analytical tools and excellent knowledge of word processing, spreadsheet and presentation applications
- Able to work independently and must be adept at managing multiple requests with strict deadlines
- Some travel may be required (10-15%)
29
Investment Specialist, Call Center Resume Examples & Samples
- Provide comprehensive client service and account management to clients, including but not limited to the following key accountabilities
- Uncover referral opportunities to Financial Advisors and BMO Harris Bank colleagues as opportunities arise during the customer conversation and in keeping with client segmentation strategies
- Participate as required in outbound calling campaigns to grow the overall investment business
- Act as a secondary contact to service individual client requests when their assigned Financial Advisor is not available
- Provide customized, comprehensive service and basic investment advice to clients in the mass market segment and participants leaving a retirement plan serviced by Harris Bank’s Retirement Plan Services
- Recommend investment solutions from a product set based on an understanding of the client needs ( mutual funds, fixed income, certificates of deposit, managed asset allocation program, insurance products (fixed annuities, variable annuities and life insurance)
- Resolve any client issue or concern quickly and effectively to retain the relationship and build future opportunities for growth; all formal complaints must be immediately shared with the Investment & Retirement Center Manager and Chief Compliance Officer
- Possess strong knowledge and act as resource on Pershing’s NetExchange 360 and NetExchange Investor, Envestnet, SalesForce, DST2000, Moneyguide-Pro and SunGuard’s Plan Rep
- Bachelor’s degree preferred with emphasis on finance or economics
- Series 7, 66, or 63 and 65, and health and life insurance licenses required
- 2 – 3 years successful sales experience with a customer service focus in the financial planning, securities, or insurance industry
- Knowledge of client management technology helpful
- Basic knowledge of a Financial Planning process
- Solid knowledge of markets and investment products
- Life and Health Insurance Producer’s License
- Completed LTC Continuing Education Requirements
- Strong working knowledge of financial industry
- Experience working with managed products and providing fee-based advice and/or financial
- Planning services a plus
- Strong understanding of deposit and loan (including mortgage) products and banking services
- High level of integrity (Clean U-4)
- Working sales skills
- Working human relations, organizational and communication skills
- Working one-on-one and group presentation skills
- Basic analytical skills
- Working problem solving skills
- Demonstrated ability to sell and refer financial opportunities
- Financial & Retirement Planning
- PC skills and systems knowledge
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Trust Investment Specialist Resume Examples & Samples
- Associate's Degree, or in lieu of a degree a minimum of two years combined higher education and relevant work experience
- Bachelor's Degree in Accounting or Finance
- Banking Experience
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Global Investment Specialist Resume Examples & Samples
- 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 strategy to all levels of clients and prospects
- Demonstrated understanding of wealth management including, but not limited to: credit, deposits, trusts and financial planning
- Ability to work in a team based environment and assist in the development and retention of junior team members
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Investment Specialist Associate Resume Examples & Samples
- Developing and implementing a structured business development strategy
- Developing strategic sales plans for prospects and existing clients
- Conducting outbound communications and cold-calling to prospects to remain top-of-mind for future business opportunities
- Providing clients with an initial review of their existing financial plan or creating a new financial plan
- Conducting complimentary needs analysis across several financial statements, including competitor statements
- Conducting market research to understand market trends
- Building and maintaining a market profile in the assigned market area
- Participating in local professional and community events and associations to develop your network
- Identifying opportunities to deliver community information sessions and financial seminars to grow prospects
- Networking with investment industry specialists while managing a small budget for independent marketing-based activities
- Identifying additional investment business development opportunities and facilitating the implementation of an investment solution and/or referral to the appropriate Wealth Management partners
- Facilitating a culture of open and honest communication by actively participating and contributing to one-on-one touch bases and meetings with team members
- Post-secondary education in Business or related field
- Mutual Fund License
- Financial Planning Designation (PFP) or Certified Financial Planner (CFP) in process
- Highly effective verbal and written communication skills
- Ability to work independently as a self-motivated entrepreneur
- An understanding of the Brokerage / Wealth Management and Online Brokerage environments
- A valid driver's license and access to a vehicle, in order to travel to meet clients and prospects within the designated district
- Second language an asset depending on target markets
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Cfsi-gcg-head, Investment Specialist Team Resume Examples & Samples
- 3-5 years banking and investment advisory experience, in client facing roles
- Strong knowledge of all investment asset classes, including equities, fixed income, and alternative investments
- Experience and knowledge of portfolio allocation as well as asset allocation
- Experience in providing advisory solutions to affluent or even high net worth clients
- CFA (preferred)
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Compliance Officer Investment Specialist Resume Examples & Samples
- Knowledge of SSI and Bank policies, procedures and manuals for the sale and distribution of mutual funds through the Bank’s branches
- Initiative, and the ability to work efficiently and effectively in a fast-paced, team environment
- Strong organization and time management skills
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Alternative Investment Specialist Resume Examples & Samples
- Transaction Processing role within the Alternative Investment Operations
- Responsibility includes processing transaction for Managed Futures, Private Equity, Real Estate and Hedge Premier Products such as subscription processing, redemptions distributions, capital calls and valuations
- Heavy interaction with the business throughout the day
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Am-gwm-associate Alternative Investment Specialist Marketer Resume Examples & Samples
- Assist with the coordination of information with bankers through the JPM network on all client matters
- Explain how alternative asset managers fit within a broader investment portfolio while being able to speak broadly across both alternative and traditional asset classes
- Be responsible for the development and growth of a region of the US and Latin America as well as broadly cover the US and Latin American Alternatives business
- Work with clients to implement alternative investments as part of their diversified multi-asset class portfolios
- Help to write and develop marketing plans and messaging for hedge funds and private investments funds
- Analyze client alternative investment portfolios and help to make investment recommendations in conjunction with investors and private bankers
- Travel occasionally to regional offices and events
- Working closely with the various sub-teams within the Alternative Investments Group to assist in day-to-day requests, tasks and projects driven by senior management, incoming client inquiries and the internal salesforce
- Navigating and facilitate information flow/messaging between teams
- Strong quantitative mindset and analytical skills to frame a decision and communicate in a transparent fashion
- Genuine interest in investing, financial markets and macro-level economic trends
- Strong written, presentation and communication skills to represent JP Morgan to internal audiences, fund managers and GWM clients
- The ability to help lead specific markets and drive revenue in a region
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Manager Compliance Investment Specialist Resume Examples & Samples
- Must have an Undergraduate University Degree (preferably in business or accounting) &/or related work experience
- Thorough knowledge of Branch Compliance Officer responsibilities, processes and guidelines
- The ability to evaluate risk, to identify control weaknesses, to recommend actions, to follow-up and to report on non-compliance effectively
- Working knowledge of Microsoft applications (including Word, Excel, and Power Point) and familiarity with the Internet
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Corporate Investment Specialist Resume Examples & Samples
- Demonstrating extensive knowledge of corporate investment requirements, industry trends products, services and the regulatory environment we operate in
- Undertaking presentations both to existing and prospective clients, industry bodies / event and to internal stakeholders that will involve complex negotiating, sometimes at CFO / CIO / Head Treasurer Level
- Providing this investment service in compliance with the Training and Competency scheme guidelines
- Demonstrating an engagement in initiatives supporting the communities within which we operate both in terms of the core social importance of banking and financial services, but also in our wider community engagement
- Proactively researching target clients (both new to Barclays and existing), identifying and developing appropriate solutions in conjunction with Product and other stakeholders where appropriate
- Proactively providing and leading input to product development as well as enhancements to sales processes, design of marketing and sales materials founded on an understanding of client needs
- Driving client centric initiatives within the business, and actively supporting the acquisition, servicing, development and retention of clients
- Extensive experience in working with the team’s target client base; including Financial Intermediaries, Family Offices, Captive Insurance Managers and Offshore Corporate Entities is essential
- Possessing first-class financial markets experience and will have excellent product knowledge in the Capital Markets, Corporate Treasury and Wealth Management space; including foreign exchange and securities dealing, capital markets, collective investments, discretionary portfolio management and derivatives / structured investments
- Appropriate investment qualifications (UK Level 4 minimum, level 6 preferred), and may be required to gain further qualifications as determined by business demands
- Strong previous regulated instrument / investment experience and must satisfy the FCA criteria for an approved person both initially and on an ongoing basis, as well as a superior knowledge of financial market dynamics and policies
- Experience with highly proficient technical structuring, presentation, sales and service skills
- Excellent selling and negotiation skills, with strong interpersonal skills and the ability to communicate at all levels within a client organisation that will allow them to provide a first class professional consultative approach to their engagement with clients
- Application: On your application we'll ask for information like your contact details, education and work experience. You’ll also be required to upload a CV, so it's a good idea to have it ready
- 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
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Manager, Compliance, Investment Specialist Resume Examples & Samples
- Must be licensed to sell mutual funds in Canada
- Must satisfy all Compliance expectations for the role, including completion of the Branch Compliance Officer (BCO) course
- Knowledge of SSI and Bank policies, procedures and manuals for the sale and distribution of mutual funds
- Initiative, and the ability to work efficiently and effectively in a fast-paced, team environment
- Effective communication skills both verbal and written are required
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Regional Director, Investment Specialist Resume Examples & Samples
- Participating in the development of the strategy for the Investment Specialist business development channel, using defined target client segments and available sales development strategies
- Developing a clear vision and business strategy for the assigned market area, aligned with the overall Investment Specialist vision and Wealth Management and Canadian Banking strategic priorities
- Proactively developing and leading business development activities to achieve and exceed targets, customizing initiatives for success based on expertise of the local market, financial conditions and advisor incumbents
- Clearly defining roles, responsibilities and expectations while communicating market area business plans to assigned Investment Specialists
- Working with Investment Specialists to develop and execute against their individual business plans; providing insight and guidance to Investment Specialists in support of their business development activities
- Ensuring monthly and quarterly analysis and reporting of results are prepared accurately and in a timely manner, creating and delivering ongoing and consistent measurement and reporting of business activities key Investment Specialist stakeholders
- Supporting Investment Specialist recruitment strategies, ensuring alignment with business strategies as well as elements unique to the market area
- Provide leadership and motivation to a team of Investment Specialists, through coaching, development, with a focus on retention and management of high quality talent
- Providing ongoing feedback and recognition; recognizing performance and managing non-performance
- Leading collaboration & relationship building initiatives across the assigned market area by
- Developing strong relationships and partnerships with the other leaders and sales managers across Wealth Management, Scotia iTRADE and Canadian Banking, and encouraging the same relationships for the Investment Specialists
- Collaborating with other Scotiabank sales management leaders in Canadian Banking and Wealth Management businesses on business development and Centre of Influence (COI) relationship building activities
- Identifying key business contacts, establishing and sustaining mutually beneficial relationships with these Centres of Influence
- Managing compliance / regulatory, risk management, operational & finance requirements for the assigned market area by
- Ensuring client complaints, claims, legal actions and regulatory reviews, examinations and investigations are handled effectively and corrective actions are implemented in a timely manner
- Significant number of years of experience in the investment industry is a must, with a strong preference for wealth management and/or brokerage experience
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Investment Specialist Resume Examples & Samples
- University graduate in Finance or related discipline, preferably a CFA holder
- Five years of relevant experience working as portfolio counselor, fund manager, financial advisor, etc
- Strong communication and interpersonal skills
- Strong analytical skill
- Good knowledge of investment products
- Knowledge of portfolio-optimizing software
- Excellent command in English and Cantonese
- Conversant in Mandarin is a plus
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Associate Investment Specialist Resume Examples & Samples
- Prepare presentation materials for existing clients and prospects, building knowledge of equity markets and investment products
- Write monthly and quarterly performance and investment commentary, including content for RFPs
- Source data using FactSet, Datastream, Bloomberg and other internal data systems, conduct peer analysis using Morningstar
- Work closely with investment teams to gain an understanding of portfolios and processes, effectively translate these into communication materials
- Build and maintain relationships with stakeholders across the business, representing Active Equities and Europe
- Respond to ad hoc queries and work effectively to tight deadlines
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Compliance Officer, Investment Specialist Resume Examples & Samples
- Must be licensed to sell mutual funds in Canada
- Must have an Undergraduate University Degree (preferably in business or accounting) &/or related work experience
- Must satisfy all Compliance expectations for the role, including completion of the Branch Compliance Officer (BCO) course
- Thorough knowledge of Branch Compliance Officer responsibilities, processes and guidelines
- The ability to evaluate risk, to identify control weaknesses, to recommend actions, to follow-up and to report on non-compliance effectively
- Effective communication skills both verbal and written are required
- Working knowledge of Microsoft applications (including Word, Excel, and Power Point) and familiarity with the Internet
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District Investment Specialist Resume Examples & Samples
- 8-10 years’ relevant experience in investment business with minimum 5 years in supervisory role in leading a investment sales team
- Strong leadership in motivating and coaching sales staff to meet aggressive sales goal and to upgrade sales staff’s technical and sales technique
- Excellent communication, interpersonal and analytical skills
- Excellent people management skills
- Self-motivated and result-oriented
- Good command of English, Cantonese and Mandarin
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Investment Specialist Resume Examples & Samples
- Field training sessions (New product rollout, sales techniques, etc)
- Agency schools for sales agents and APCs
- Sales agent field calls with clients
- Designs, implements and facilitates sales training activities in the field and in applicable Agency schools to develop sales agents and APCs. Trains on company approved sales practices and products including: - Key product areas
- Field underwriting techniques (financial & medical)
- Prospecting skills
- Fact finding techniques
- General sales techniques
- Presentation & closing skills
- Client relationship building techniques
- Works directly with sales agents and APCs on field calls. Provides guidance, feedback and recommendations for effective sales applications and on client development
- Initiates and maintains strong working relationships and credibility with sales agents and APCs. May function in direct sales role to remain current on company products and sales techniques. Consults and advises agency management on options for handling agency business challenges as a supplement to the formal training courses utilizing current, competitive industry resources
- Develops course materials for e-learning, distance learning workshops, classroom presentations, one on one training or a combination of these techniques
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Asset Management Private Bank-investment Specialist Associate Resume Examples & Samples
- Provide support to Investors in all facets. The Investor is responsible for helping the Banker win new clients and deepen and strengthen existing client relationships through advising on investment solutions
- Support investment reviews with clients to validate the clients' current investment objectives and prepare recommendations of appropriate investment products
- Build excellent working relationships with internal clients
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Real Estate & Investment Specialist Resume Examples & Samples
- Real Estate Portfolio – Lease Maintenance
- 3 or more years’ experience in real estate, appraisal, lease or property management required
- 6 or more months’ experience in reviewing investment issues and documents required
- Associate’s Degree required
- Knowledge of Real Estate appraisal and Real Estate sales processes
- Expanded knowledge of Real Estate Lease terminology and practical application of lease terms and entity responsibilities
- Limited legal experience for lease evaluation
- General knowledge regarding agricultural and mineral investments
- Negotiating skills, vendor management skills, customer service skills
- Practical knowledge and use of MS Office Suite, as well as Internet researching skills
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Active Investment Specialist Resume Examples & Samples
- Maintaining databases on key strategies and product inventories
- Compiling asset flow data on key products and competitor products
- Developing and maintaining competitor performance data
- Assisting in the preparation of marketing strategy updates and commentary
- Strong Financial/Reporting analytical skills
- Experience with databases and database query tools would be an advantage
- Product knowledge is an advantage particularly in equity, fixed income, or balanced investment products
- Experienced with both Power Point, Excel, and Access with a focus on working with databases
- Strong interpersonal and communication skills
- Must be detail oriented and have an analytical mindset with the ability to deliver key insights through ‘out of the box’ thinking
- Well motivated and enthusiastic team player, able to work with others in a fast paced, dynamic environment
- Bachelore's Degree
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Marketing Investment Specialist Resume Examples & Samples
- Monitor A&P investments run rates relative to achieving Business Unit Goals and make recommendations to optimize. Monitor A&P budget for opportunities, savings, and release
- Preparation and maintenance of spent and committed reporting so DMG (digital marketing group) can quickly adjust investments according to Business Unit needs
- Coordinate preparation and review of forecasts prior to official submission
- Meet with members of various marketing teams to confirm actual and planned spends
- Assisting in month-end accrual process - analyzing timing of campaign spends compared to actual spends
- Support corporate planning & Control in implementing processes and tool refinements to improve forecast accuracy
- Organizes vendor information, including rates, SOWs, SLA's, and advises Marketing team on vendor contract period end
- Open purchase orders and organize supporting documentation
- Partner with Sales team to understand MDF spend, identify overlaps, deficiencies, opportunities and make recommendations
- BA/BS degree in Accounting/Finance or related field
- 2-4 years related work experience
- Advanced excel skills, demonstrated the ability to in manipulate large amounts of data
- Ability to analyze data, present information clearly
- Familiarity with P&L components and management
- Detail-oriented, organized, analytical, and effective at multitasking
- Ability to meet tight deadlines, prioritize workload and achieve effective results in a fast paced, dynamic
- Must be able to work independently and be a self-starter
