Private Wealth Management Resume Samples

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G Cummerata

Green

Cummerata

527 Skiles Creek

Chicago

+1 (555) 480 6447

527 Skiles Creek

Chicago

Phone

p +1 (555) 480 6447

Experience Experience

Phoenix, AZ

Private Wealth Management

Phoenix, AZ

Williamson Group

Phoenix, AZ

Private Wealth Management

Identify actions that can be taken to improve and streamline operations and make recommendations to management,
Keep abreast of trends and developments in the trust and investment management industry to ensure prudent administration and investment management
Consolidate key business metrics regularly to produce summary for management team. Including coordination of regional and individual employee performance
Lead or participate in divisional efforts to improve efficiencies within the Private Wealth Management business
Provide guidance for the development and on-going maintenance of investment allocations, goals and objectives
Organize day’s work at close of business, for Management signature/approval
Assist on projects related to new business development and team strategic planning

Boston, MA

Private Wealth Management Sydney

Boston, MA

Fadel, Yundt and Grant

Boston, MA

Private Wealth Management Sydney

Assign account numbers and provide FAs with completed new account forms after management approval
Arrange and assist with CHESS and sponsorship, off-market, broker to broker and issuer to CHESS transfer of client documents
Coordinate client seminars, conferences and presentations
Liaise with back office and share registries regarding client and FA enquiries
Process and monitor stock settlements, including follow up with clients re outstanding funds
Maintain account files and undertake regular follow-up on missing documents
Authorise access and respond to client queries re Website

present

Chicago, IL

Director, Private Wealth Management

Chicago, IL

Schowalter, Kulas and Zboncak

present

Chicago, IL

Director, Private Wealth Management

present

Hire staff, provide ongoing coaching and training, conduct performance appraisals and manage compensation programs
Serve as project manager and take ownership in implementing certain solutions of identified workflow and product enhancements
Drive and develop new process improvement services, products, workflow management, and technological advancements through analysis and consultation with PAS Product, PWM and the PAS Client management functions
Represent PWM Distribution in providing analysis, advice and consultation to its strategic business partners in support of Investment product offerings and service solutions
Represent PWM Distribution in assuring the effective integration of the end to end Investment Management process with PWM Field execution
Oversee PWM Field Investment process execution performance and measurement
Ensure adherence to compliance rules and regulations

Education Education

Bachelor’s Degree in Business

University of Illinois at Chicago

Bachelor’s Degree in Business

Skills Skills

Highly detail oriented with ability to work independently and manage multiple projects at a time
Excellent interpersonal skills and ability to build and foster a strong network of relationships
Detailed Knowledge of UK regulatory environment and FCA rules
Highly proficient in Microsoft Office programs
Experience with concepts of personal financial planning and strong knowledge of all banking, investment and credit products and services
Excellent judgment and the ability to be discreet in all matters
Possess knowledge of investment products and be able to execute trades for equities, derivatives, fixed income, bonds, warrants and mutual funds
Strong attention to detail
Strong product knowledge and trading strategies used by PWM, e.g. structured products, alternative investments, derivatives
Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment

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Private Wealth Management Resume Examples & Samples

Trade booking and settlement
Resolving settlement and funding issues
Travel/hotel bookings
Expense claims
University graduate in Finance or related disciplines
At least two years of relevant experience in a client service role within Private Wealth Management
Works efficiently in fast-paced environment

Private Wealth Management Resume Examples & Samples

Financial forecasting and modeling
Business reporting, including sales progress and expense management
Systems development and maintenance
Superior academic achievement
Degrees in Accounting or Finance preferred, but not required
Strong analytical skills and detail-oriented
Ability to work in a fast paced, dynamic environment and to handle multiple projects at a time
Mental flexibility
Confidence and self-awareness with excellent interpersonal and communication skills, both written and verbal
Strong work ethic; genuine passion for excellence, results-oriented
Personal and professional integrity of the highest order
Graduate from a four-year undergraduate university
Resume must include GPA
Completed or on-going active duty service in one of the military branches of the United States of America

Private Wealth Management Resume Examples & Samples

4+ years of relevant experience within PWM client account documentation and AML
Strong analytical/problem solving and communication skill
Self-initiative and able to work independently
Fluency in English, Chinese (verbal and written)

Private Wealth Management Sydney Resume Examples & Samples

Distribute new account documents and required notifications to clients and review new account forms for accuracy and completeness, including input of client banking details
Assign account numbers and provide FAs with completed new account forms after management approval
Arrange and assist with CHESS and sponsorship, off-market, broker to broker and issuer to CHESS transfer of client documents
Authorise access and respond to client queries re Website
Coordinate client seminars, conferences and presentations
Maintain account files and undertake regular follow-up on missing documents
Process and monitor stock settlements, including follow up with clients re outstanding funds
Comply with the ethical standards contained in the Company Code of Conduct
Technical/Specialist skills/competencies required in this role

Internship Private Wealth Management Peoria Resume Examples & Samples

Pursuing a Bachelor’s degree in Finance, Personal Finance, Business, or Marketing preferred. GPA of 3.0 or higher
Interest in a career in Wealth Management
Must have a basic knowledge of accounting and finance

Private Wealth Management Resume Examples & Samples

Act as a leader and project manager for the firm’s marketing team to develop, manage and execute approximately 85 events across the U.S. s designed to
Internal Stakeholders (Wealth Strategies Group, Investment Team, Relationship Managers, Business Development Officers, Office Marketing Contacts)
External Vendors
Bachelor’s degree in Business, Marketing, Communications or related field or equivalent work experiences
Advanced degree in Business, Marketing, Communications or related field is desired
3-6+ years experience in corporate events
Creative, self initiative and passionate for the wealth management business
Excellent communication (verbal and written), interpersonal, negotiation and conflict resolution skills are required
Solid strategic project management experience and organizational skills including the ability to set and drive requirements across multiple functional areas
Experience working on events for the investment or financial service industry is desired
Excellent client service and interpersonal skills
Highly detail oriented with ability to work independently and manage multiple projects at a time
Advanced skills with Microsoft Office
Strong knowledge of the creative process and production; skills in InDesign suite a plus
Experience managing others and with MS SharePoint

Private Wealth Management Resume Examples & Samples

Manage the pipeline (tracking, monitoring, follow-up, and coordinating with multiple departments) to keep the processing of new loan requests, renewals and refinances of Consumer, Real Estate or Commercial loans on track
Communicate effectively with all parties involved, with the client experience the highest priority
Maintain the private banking database, which is the primary pipeline reporting tool for the division
Update Private Wealth Management associates on all lending regulations. This includes attending seminars on regulatory changes, working closely with our internal compliance partners, and working closely with the Director of Client Experience & Service to update and implement lending policy & procedures for Private Wealth Management associates. Will monitor adherence to all lending regulations by the private bankers and private banking assistants
Demonstrates understanding of Regulation Z compliance
Demonstrates understanding of Regulation B compliance
Demonstrates understanding of Fair Credit Reporting Act
Demonstrates ability to monitor compliance against regulations
Demonstrates general knowledge of Microsoft Office Products (Outlook, Word, Excel)
Demonstrates strong attention to detail
Demonstrates familiarity with banking core accounting systems

Private Wealth Management Resume Examples & Samples

Oversee responsibilities outlined in the Branch Supervisory Manual, including transaction review and approval
Special trade approvals (e.g. block trade, cross trade, complex structures)
Customer complaints handling and resolution (via liaison with the Legal and Compliance Division if necessary) to ensure appropriate supervisory oversight is maintained at all times
Errors handling and resolution
Responsible for the service/operations functions with focus on consistency, quality, and compliance with Firm policies and procedures, e.g. reviewing and approving journals, payments and other client instructions
Ability to identify and resolve issues and escalate as necessary
Effective written and verbal communication skills in English, Mandarin and Cantonese
Minimum 4 - 5 years' relevant or finance and accounting experience

Private Wealth Management Resume Examples & Samples

Active Series 3, 7, 8 (or 9 and 10), and 63, 65 (or 66)
Other licenses as required for role or by management
Ability to identify issues and trends in order to anticipate change and provide recommended
Comprehensive solutions and remedies
Ability to organize and prioritize workflow and assignments in a deadline oriented
Ability to interact with Financial Advisors and clients
Excellent judgment and the ability to be discreet in all matters

Private Wealth Management Resume Examples & Samples

Manage and build a portfolio of CIBC Private Wealth Management’s High Net Worth business by providing support to High Net Worth clients whose needs are primarily banking, credit and investment based (i.e. mutual funds, fixed income products, GICs, Imperial Investor Services, PPS, etc.). Through business development activities, work to acquire new clients who have sophisticated financial needs, are people of influence, or who require somewhat complex financial solutions, respecting specific PWM minimum account qualifications. The current average client size for a senior Private Banker is almost $2 Million, while this role would manage clients between 25-75% of this size. CIBC is differentiated from the competition in Canada by offering Private Wealth Management only to HNW clients. The competitors have offers where HNW clients are considered for full HNW service at $250K. The candidate must assist with credit structures, with minimal complexity, for clients by working closely with Private Bankers and Senior Private Bankers, Credit Specialists and Commercial Banking
Review the client portfolios and financial needs from a holistic perspective. Identify opportunities to broaden the client’s suite of products and services. Meet regularly with clients to conduct portfolio reviews and introduce new product and service solutions
Search for and develop untapped opportunities to promote CIBC Private Wealth Management within the existing client portfolio. Develop and maintain high quality, effective relationships with internal and external networks.. The Private Banker, is required to assist in bringing the appropriate PWM advisory offers (Private Banking, Trust, Wealth Advisory and Investment Counsel) to clients, along with other appropriate HNW advisory offers like Wood Gundy, Investment Specialists and Commercial Banking, as required
Increase retention and consolidation of CIBC Private Wealth Management clients’ business by knowing the clients and developing strong relationships and action plans to provide appropriate investment, credit, banking solutions and wealth advisory services. Provide consistent service excellence at all client touch points to meet High Net Worth client’s expectations for service delivery and issue resolution
Provide specialized services to key HNW markets like professional services to partners of major law, accounting and medical businesses. Provide private banking services to HNW clients of Wood Gundy focusing on clients with a minimum of $5 Million investible assets
Build and grow the client’s portfolio of products and services in order that these can be referred to senior private bankers for more consultative and in depth coverage
Successfully migrate clients who do not qualify for the PWM offer over the medium term to other appropriate channel offers such as Imperial Service or Business Banking, while at all times retaining the business for CIBC
3· Build a strong partnership with all business partners and the CIBC Private Wealth Management team
4· Ensure quality of account portfolio by performing risk assessment and moderate financial analysis on all potential or existing High Net Worth clients on an ongoing basis. Ensure that all recommendations and actions adhere to all Bank risk standards and guidelines

Private Wealth Management Perth Resume Examples & Samples

Provide outstanding service and administrative support to MSWM clients on phone, face to face and in electronic communications
Client on-boarding, including preparation of Account Documentation, creation of client record in MSWM systems, arranging relevant sign-offs from branch management and liaison with Operations team to ensure timely and accurate creation of account
Arrange and assist with client asset transfers, including CHESS sponsorship, off-market, broker to broker and issuer transfer of securities
Authorise access and respond to client queries regarding MSWM Website
Coordinate Initial Public Offering allocations and applicable client documentation
Liaise with back office and share registries regarding client and FA enquiries
Coordinate client seminars, conferences and presentations as required by Adviser team
Participate in department cross-training as required
Comply with the ethical standards contained within the Company Code of Conduct
Technical/Specialist skills/competencies
Ability to maintain files
Business/Industry knowledge/competencies
Knowledge of financial markets and the financial planning industry (highly desirable)
Understanding of compliance and legal requirements within MSWM
Personal Attributes/Interpersonal skills
Ability to work under pressure and to tight timeframes within a team
Administrative experience preferred
Experience within a broking environment highly desirable

Private Wealth Management Resume Examples & Samples

Collaborate with Director of Lifestyle Advisory to develop strategic plans to promote Lifestyle Advisory to designated wealth advisors
Conduct meetings with C-Suite level management of current and potential third party companies to discuss and implement Lifestyle Advisory offerings
Meet with the firm’s most successful advisors and clients to discuss Lifestyle Advisory offerings
Possible travel to branch locations
Develop and maintain for the use of advisors and clients a web-based library of educational material addressing the topic of building, retaining and utilizing wealth and consisting of relevant books, academic white papers and research reports and programs and materials created by partner financial service industry firms
Assist in the promotion and maintenance of the firm’s existing advisor training programs, and help to develop new advisor and client programs
Minimum of 8 years in the retail financial services industry, with emphasis on advisor and client relationships
Experienced in developing power point presentations and creating marketing material
Excellent oral and written communication skills and exceptional presentation skills
Ability to understand the needs of the UHNW client
Outstanding research skills
Exemplary interpersonal skills
Highly proficient in Microsoft Office programs

Private Wealth Management Resume Examples & Samples

Successful candidates must exhibit CIBC’s values of trust, team work, and accountability
Candidates must have previous experience handling cash in a customer service or sales oriented position
Candidates should have strong interpersonal skills and the ability to work in a fast paced team environment

Private Wealth Management Resume Examples & Samples

Review new account forms for accuracy and completeness
Distribute new account documents and required notifications to clients
Accurately transmit and receive administrative messages and other communications between the branch and New York Departments, Exchanges, and other branch offices
Process securities, ensuring good delivery and accurate processing. Enter trades accurately
Process checks for Management signature
Prepare and process trade corrections, maintain necessary records for compliance. Perform weekly follow-up on missing documents
Assist Financial Advisors and support staff with questions regarding documentation and account title formatting
Maintain account files, keeping filing of documents current. Maintain file for order tickets, by month
Maintain accurate records for securities and transfers
Process account transfers and follow-up on status of transfer requests. Cooperate with branch cross-training requirements
Advise Management and Financial Advisors of money and securities due each morning
Verify Trade Confirmations report at the start of day against previous day’s order tickets. Provide daily inventory of securities, ensuring compliance with regulations
Evaluate margin requirements and advise Management and Financial Advisor of necessary responses
Prepare monthly reports (Monthly Insurance, Prepayment, etc.) Distribute messages to proper individuals
Organize day’s work at close of business, for Management signature/approval
High School Diploma/Equivalency
2 or more years of industry experience preferred
Be authorized to work in the U.S. without restriction as to duration. Pass a background check
Pass any applicable pre-employment tests

Private Wealth Management Resume Examples & Samples

Record of academic and professional achievement
Strong analytical and communication (oral and written) skills
Creative approach to problem solving and developing innovative solutions for clients
Commitment to excellence and a high level integrity
Prior sales, marketing or investing experience a plus, but not required
Graduated with a university degree

Private Wealth Management Resume Examples & Samples

C++/Visual C++
C# .Net
Systems Architecture Design
A strong grasp of object orientated languages
Availability to start in March would be ideal

Private Wealth Management Resume Examples & Samples

High net worth individual clients
Private Wealth Management team and managers
Liaise with CIBC partners
Operations and Compliance departments daily to obtain/ provide information
Complaints are logged and escalated when necessary
Adhere to proper procedures in CIBC manuals and the Code of Conduct

Private Wealth Management Resume Examples & Samples

Currently pursuing or successful completion of the Canadian Securities Course and the Conduct and Practices Handbook to enable IIROC licensing (CPH is required within 3 months of hire)
Professional Financial Planning Course is an asset; Certified Financial Planners Designation within 18 months of hire is required
Experience with concepts of personal financial planning
Sales and relationship management experience
Financial services experience (private client, private banking, advisory, brokerage, etc.)
Basic knowledge of all banking, investment and credit products and services
Demonstrated success in ability to build and maintain new client relationships
Ability to work effectively with both internal and external clients
Computer based software applications such as Microsoft Office suite

Private Wealth Management Resume Examples & Samples

To provide comprehensive operational and service support for the NY-based Family Office Initiative
Develop and maintain Blackstone platform knowledge and BXAccess in order to answer LP inquiries via inbound calls
Maintain LP profile and data within MDM/BXAccess
Serve as steward for Salesforce – creating companies, maintaining and updating LP records and contacts, producing reports, mailings and tracking communication
Prepare Power Point presentations and Excel spreadsheets and update when required
Identify opportunities to grow business within current LP base
Assist on marketing efforts within LP base – monthly calls, quarterly roundtables, etc
Work on research projects utilizing internal and external resources
Work closely with Compliance and IRBD teams for marketing materials, meetings, etc
The successful candidate should have strong communication and inter-personal skills, client service skills, as well as a desire to work in a team environment. A strong knowledge of markets, securities and investment strategies is essential
Professional with 2+ years of work experience
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, or any other protected category

Private Wealth Management Institutional Wealth Services Resume Examples & Samples

5-7 years of relevant industry experience; preferably within private equity or illiquid public investments
Knowledge and/or experience with a broad range of private transactions
Demonstrated interest in financial, economic and global capital markets
Excellent interpersonal skills and ability to build and foster a strong network of relationships
Commitment to excellence and a high level of integrity
Successful completion of Series 7 and 66 exams required within three months of starting at the firm

Private Wealth Management Strats Resume Examples & Samples

Designing customized hedging and investment strategies for high-net-worth individuals
Developing and maintaining risk management and investment tools across multiple asset classes for portfolio managers and traders
Generating risk analysis for senior management
Providing quantitative rationale & analysis to market structured products and managed investment strategies
Strong communications skills are essential
Programming skills and/or math background are required

Client Specialist Private Wealth Management Resume Examples & Samples

May introduce, with direction from FA(s), investment concepts to clients and be called upon to present information in small and large group presentations
May work with Financial Advisor(s) to select investments and make recommendations to clients based on research and understanding of the client’s investment strategy, tolerance for risk, etc
Work independently to resolve complex client account set up and transitions. Providing the client with a seamless transition and being cognizant of account features and preferences mapping to new accounts. Working with clients directly with minimal oversight from Financial Advisor (Estates, Qualified Plans, Death, Trusts)
Working with clients Professional Advisors (Attorney, Accountant) directly with minimal oversight from Financial Advisor
5-9 years of prior industry and/or administrative work experience or an equivalent combination of education and experience from which comparable knowledge and abilities can be acquired
Must be Series 7/63 or 7/66 or 7/63/65 licensed. Additional certifications encouraged
Proficient in Microsoft Office suite (Word, Excel, PowerPoint) with the ability to learn and effectively navigate Baird’s Private Wealth Management technology platforms (Thomson ONE, Albridge, Envestnet, CRM, Money Guide Pro, LiquidOffice etc.)
Emotional Intelligence - Able to communicate with respect using appropriate language and voice volume in all situations
Good interpersonal skills -- ability to effectively and proactively work with both external and internal clients and relate with others in order to accomplish work responsibilities and objectives. Willing and able to research and provide an answer or feedback within 24 hours of initial
Understands compliance regulations including the client complaint process and correspondence policies. Maintains client confidentiality in all situations
Detail oriented with an emphasis on accuracy. Critical thinking and proactive problem solving skills
Staying current and understanding firm policy and procedures in an ever changing regulatory environment, being able to articulate the reason for certain requirements to clients as needed

Private Wealth Management Resume Examples & Samples

Relationship and Portfolio Management
Contribute to the group’s High Net Worth (HNW) business by building a portfolio of HNW clients whose needs are primarily banking, credit and investment based (i.e. mutual funds, fixed income products, GICs, Imperial Investor Services, PPS, etc.)
Ensure quality of account portfolio by performing risk assessment and in-depth financial analysis on all potential or existing High Net Worth clients on an ongoing basis. Ensure that all recommendations and actions adhere to all Bank risk standards and guidelines
Resolve extremely complex credit issues for clients by working closely with Credit Specialists and Commercial banking
Increase retention and consolidation of CIBC Private Wealth Management clients’ business by understanding the clients and developing strong relationships and action plans to provide appropriate investment, credit, banking solutions and wealth advisory services. Provide consistent service excellence at all client touch points to meet High Net Worth client’s expectations for service delivery and issue resolution
Provide specialized services to key HNW markets like professional services to partners of major law, accounting and medical businesses. Provide private banking services to HNW clients of Wood Gundy
Foster strong team spirit and partnering behaviours within the CIBC Private Wealth Management team and build a strong partnership with all business partners, including other HNW teams in CIBC. Provide mentoring and coaching to Private Banking Officers
Assess performance through review of Local Level Reporting (LLR) and build target plans to enable achievement of required business objectives and to support execution of annual portfolio plan
Planning and Advice
Review client portfolios and financial needs from a holistic perspective and identify opportunities to broaden the client’s suite of products and services
Meet regularly with clients to conduct portfolio reviews and introduce new product and service solutions. Understand wealth generation by small to medium business enterprises and the complexity of monetizing their value
Proactively identify opportunities to grow the business
Demonstrate a commitment to keep up-to-date with current events, overall economic and financial environment, trends, product developments, legislative changes etc
Proactively communicate developments or changes to clients as applicable to their financial situation.(i.e. budget /legislative changes)
Involvement in the community through participation in business and industry associations, and aid in the development of a professional network comprised of the target client segment

Private Wealth Management Resume Examples & Samples

Establish and maintain strong internal relationships to drive credit product sales
Constant and continuous interaction with the sales force on new opportunities, portfolio maintenance or exception requests
Interact with clients and/or their advisors to understand their lending objectives and structure solutions to assist meet these objectives
Ensuring effective and consistent compliance to credit and control procedures
Preparation of Business Selection and Credit memos
Working closely with Margin Lending team and Credit Risk team on new deals, credit policy reviews and account monitoring
Analysis of accounts with high leverage and identify key risks for ongoing surveillance in collaboration with Risk
Resolutions of product / client specific issues
Projects related to GS International Bank lending platform development, margin monitoring improvement and other system enhancement
At least 3 years’ experience in the financial services industry ideally within private banking in a credit sales or credit risk related role
Good understanding of margin and bank lending businesses, capital market products along with knowledge of basic derivatives
Strong analytical, data mining and communication skills
Strong inter-personal and conflict handling skills
Ability to work independently with different functions
Have initiative and be a self-starter, with self-confidence and a sense of approachability. Must work well in a collaborative environment
Detail-oriented and a commitment to excellence
Past experience in dealing with external stakeholders e.g. local regulators, lawyers, auditors etc
Proven ability to multitask, work in a strong fast-paced environment and be solution oriented
Written and spoken Mandarin and/or Cantonese skills will be preferred

Private Wealth Management Resume Examples & Samples

Develop and retain trust and investment management clients
Manage the set-up, implementation and administration of trusts and estates
Keep abreast of trends and developments in the trust and investment management industry to ensure prudent administration and investment management
Ensure that account administration is in compliance with fiduciary principles
Coordinate client service activities with other wealth management partners
Provide guidance for the development and on-going maintenance of investment allocations, goals and objectives

Client Assistant Private Wealth Management Resume Examples & Samples

Bachelor’s degree or industry experience comparable to Bachelor’s degree
2+ years of prior industry and/or administrative work experience or an equivalent combination of education and experience from which comparable knowledge and abilities can be acquired
Must obtain Series 7/63 or 7/66 or 7/63/65 licensure within 12 months of employment
Excellent verbal and written communication skills (including e-mail); ability to adeptly exchange ideas and information
Strong organizational skills -- consistent ability to prioritize work flow of self and Financial Advisors in order to achieve specific goals in a timely manner
Proven reliability in attendance and performance. Strong work ethic, 90% of your day is spent actively working on FA/Client requests
Good analytical skills with ability to perform semi-advanced math

Director, Private Wealth Management Resume Examples & Samples

Hire staff, provide ongoing coaching and training, conduct performance appraisals and manage compensation programs
Conduct staff meetings to ensure the team responsive to policy and procedural changes
Motivate associates to enhance client relationships and strengthen loyalty to the firm
Ensure adherence to compliance rules and regulations
Oversee PWM Field Investment process execution performance and measurement
Represent PWM Distribution in assuring the effective integration of the end to end Investment Management process with PWM Field execution
Represent PWM Distribution in providing analysis, advice and consultation to its strategic business partners in support of Investment product offerings and service solutions
Drive and develop new process improvement services, products, workflow management, and technological advancements through analysis and consultation with PAS Product, PWM and the PAS Client management functions
Serve as project manager and take ownership in implementing certain solutions of identified workflow and product enhancements
Enhance the client experience through thought leadership by bringing ideas to the PWM senior team that supports superior quality and processing efficiency
Understand the PI Phone support (PAS Service Phones) and OSG service models as they relate to the PAS product suite and the integration with PWM
Seek opportunities to integrate SAI with PWM
10+ years Sales and/or Service experience
5+ years management experience
Business analysis experience a plus
Wealth management experience a plus
Series 7, 9, 10 and 66 licenses required
Understand PWM & PAS sales and service delivery models, and business direction
Track record of managing high performing teams
Consultative, interpersonal, and influencing skills
Strong organizational skills and the ability to manage multiple priorities

Private Wealth Management Resume Examples & Samples

Providing Compliance input in product design and approvals
Conducting trading and suitability surveillance
Provide Compliance representation in Divisional Committees, such as Order Execution Review Committee
Manage products and suitability related projects
Providing advice and support to business projects and issues requiring compliance input
Managing compliance-led projects and representing PWM Divisional Compliance on Firmwide and cross regional projects and working groups
Providing review and sign-off of marketing materials prepared for distribution to clients / prospects
Reviewing and approving client account and trade activity from a suitability perspective
Providing support for / responding to general compliance-related queries
Development and implementation of compliance-related policies and procedures
Impact analysis and implementation of regulatory changes affecting the PWM business
Develop and deliver training for business personnel
University degree and/or professional compliance / financial services qualification
3+ years’ compliance or other relevant financial services experience. Private wealth management / retail client experience preferred
Detailed Knowledge of UK regulatory environment and FCA rules
Any knowledge of other European or international regulatory regimes an advantage
Strong product knowledge and trading strategies used by PWM, e.g. structured products, alternative investments, derivatives
Experience of conducting trade surveillance or equivalent monitoring activity
Good interpersonal skills and effective written/oral communication skills
Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
Ability to handle multiple tasks and work under pressure
As a minimum, good proficiency in Microsoft Excel, Power Point and Word

Private Wealth Management Service Professional Resume Examples & Samples

Working knowledge of Morgan Stanley Wealth Management products and services
Knowledge of Morgan Stanley Client Service Center structure and strategy
Ability to work quickly and efficiently in a fast-paced environment
Ability to manage numerous tasks simultaneously
Ability to work effectively across diverse Lines of Businesses

Private Wealth Management Group Director Resume Examples & Samples

Engages in team oversight responsibilities such as interviewing candidates for hire, training team members, regulating group workflow and workload and offering input on staff performance
Allocates work among a team of three or more full-time employees
Oversees the development and implementation of strategies to execute the business plan to achieve desired results, which may include performance tracking and managing the support staff’s monthly compensation
Leads team to establish and cultivate relationships with new and existing clients and proactively helps to resolve issues and concerns
Focuses strategically on client business development
Independently develops procedures for solving client concerns (logistical, administrative, etc.) and follows through on resolution of client service projects and operational issues
Serves as client contact for administrative problem resolution and fielding general client questions on a spectrum of topics
Reviews all outgoing correspondence and reports for accuracy
Serves as the escalation point for all team related matters
Four- year college degree or professional certification required
Minimum of 10 years of post-high school education and/or work experience in a field relevant to the position
Active Series 7, 63 and 65 or Series 7 and 66
Financial industry and product knowledge
Knowledge of applicable compliance rules and regulations
Proficient in applicable software applications
Ability to interact and communicate effectively with colleagues and clients
Evidence of strong leadership skills or previous supervisory experience

Private Wealth Management Resume Examples & Samples

Supporting portfolio managers by providing service and support functions such as, account creation and maintenance, building out performance report, and get newly created accounts billable
Collaborate with team members to provide exceptional service
Interact with PM�s supporting team and supporting them in all aspects of their servicing needs related to the management of their relationship, researching client inquiries and managing follow up communication and materials

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