Wealth Management Operations Resume Samples
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Wealth Management Operations Resume Samples
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EB
E Buckridge
Emory
Buckridge
27962 Balistreri Divide
Boston
MA
+1 (555) 159 4522
27962 Balistreri Divide
Boston
MA
Phone
p
+1 (555) 159 4522
Experience
Experience
Boston, MA
Wealth Management Operations
Boston, MA
Johns and Sons
Boston, MA
Wealth Management Operations
- Management of market transactions including the processing of managed fund applications
- Opening and Closing of Portfolio/Fee based accounts including the establishment of cost bases on individual investments parcels
- Interface with Operations on trade booking, fail management, exception processing, and ad hoc queries
- Accurately and effectively administer and oversee day to day portfolio management of fee based accounts including but is not limited to
- Vendor management
- Develop objective, data driven recommendations wherever possible
- Work with Front Office Product Desks, Investors, Financial Advisors, and Client Service on trades in respective asset classes
Dallas, TX
Asset Management Global Wealth Management Operations
Dallas, TX
Murray Inc
Dallas, TX
Asset Management Global Wealth Management Operations
- Works closely with business and operations management, legal, compliance, audit, SOX, etc
- Works with Firm-wide and Line of Business operations risk management teams
- Performs analysis on an ad hoc basis
- Provide support in significant risk initiatives
- Provide support in the validation of action plans and audit findings
- Contribute to/create material to be used for discussions, presentations, training and guidance to operations on operational risk
- Collaborate with risk colleagues and provide support in the tracking of risk milestones
present
New York, NY
Alternative Investments Operations VP-wealth Management Operations
New York, NY
O'Kon Inc
present
New York, NY
Alternative Investments Operations VP-wealth Management Operations
present
- Maintain relations with Funds as pertains to Operations, i.e. Fund launches -Provide premier operational services to high profile FAs
- 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
Education
Education
Bachelor’s Degree in Relevant Discipline
Bachelor’s Degree in Relevant Discipline
Loyola Marymount University
Bachelor’s Degree in Relevant Discipline
Skills
Skills
- Experience within a wealth management or investment banking environment is highly desirable
- Ability to effectively navigate in ambiguous situations and highly complex environments and develop creative solutions
- Strategic Leadership and execution of the CTB and RTB program portfolio including building a strong control environment
- Ability to work under pressure and to tight timeframes
- Strong Business relationship management skills
- Ability to multi task and deliver projects within specified deadlines
- The ability to accurately interpret market data through various systems will be extremely critical. As well as a keen eye for compliance and risk issues
- Possess excellent oral and written communication skills. Deliver engaging, informative, well-organized presentations
- Ability to interpret regulatory body (ASIC, ASX) rules and apply to the business in the context of Operations control points
- Ability to assist in identifying risks and minimise potential liabilities to the business
15 Wealth Management Operations resume templates
Read our complete resume writing guides
1
Global Wealth Management Operations Resume Examples & Samples
- Contribute to/create material to be used for discussions, presentations, training and guidance to operations on operational risk
- Financial services industry experience, ideally with exposure to wealth management/private banking
- Strong organizational skills, detailed capabilities, business analysis experience
- Very strong MS Office skills, including Excel, Power Point and Visio
2
Wealth Management Operations Resume Examples & Samples
- Help deliver the change agenda by partnering with key stakeholders (e.g. Business, Technology and Operations) to define the target state vision for the organization
- Define and drive the implementation of Global Standards and Best Practice
- Develop objective, data driven recommendations wherever possible
- 3-5 years of experience in project management, process engineering or strategy within a financial services or operations environment
- Problem solving skills: The candidate must have sound process engineering/ diagnostic skills. This includes the ability to quickly ascertain the root cause of an issue and develop precise, robust and actionable solutions. The candidate must also have the ability to identify complex risks early and develop actionable mitigation plans
- Analytical skills: The candidate must be highly analytical with experience in using objective data to drive strategic recommendations. Experience of collecting, analyzing and synthesizing large data and complex data sets using commonly available tools (e.g. Excel, Access, Business Objects) is essential
- Experience within a wealth management or investment banking environment is highly desirable
3
Wealth Management Operations Business Manager Resume Examples & Samples
- Work closely with senior management team, providing information and analysis used for management team decision making
- Deliver timely and accurate financial information and analysis to management team and support groups
- Manage and interpret monthly financials
- Headcount management - provide views of headcount to aid hiring and financial decisions
- Manage metrics reporting pertaining to business drivers, labor drivers, service levels, risk indicators
- Support and faceoff with Central Admin Office of WM Ops, Operations COOs/BM community and Financial Controllers Group
- Engage in talent development initiatives for Private Banking Operations
- Engage with larger business management / COS community to provide feedback/input on various initiatives
- Cost allocations, support Capacity Planning and Activity Based Costing initiative (TDABC) across to provide transparency to stakeholders and to communicate services provided by the department
- Analytical skills to critically evaluate the information gathered from multiple sources, reconcile variances, and convey into high level presentations for senior management and key stakeholders
- Management reporting experience and presentation skills to communicate information effectively across entire organization
- Organizational skills to work with the vast array of information and analysis; and to cope with rapidly changing information
- Interpersonal skills to help negotiate priorities; build relationships; gain support from key stakeholders (Business Unit and Operations)
- Project and modeling skills to represent information in graphical forms that enhance decision making and communications
- Flexibility - the scope of the role is limited only by the capacity of the individual to add value. Flexibility of thought and a willingness to engage in a wide range of issues at all levels of detail will be vital
- Communication - the ability to communicate to a variety of audiences from Analysts to Managing Directors and tailoring messages to the appropriate audiences
- Working knowledge of Excel, emphasis on Pivot Tables, ability to reconcile data, ability to understand and check the excel work of others on the team
- Experience with HTML and / or website management
- Working knowledge of MS Office SharePoint
4
Operational Risk Manager Wealth Management Operations Resume Examples & Samples
- Independently review, challenge and support risk management activities within the CSO space
- In response to material risk events, whether internal or external, conduct independent Deep Dive reviews and assessments to determine root cause(s), assess control environment, escalate issues and identify/monitor remedial actions to mitigate against the risk of future losses
- Support reporting and monitoring of metrics and Key Risk Indicators (KRI) at the product line and divisional levels; continuously improve existing body of KRI and related reporting
- 7-10 years offinancial services experience in control function such as op risk, compliance, or audit
- Robust understanding of Advisory Services, Alternative Product Operations or Tax Operations
- Ability to manage multiple priorities and deliver to established timeframes
- Bachelor’s degree or equivalent in related field
5
Personal Trust Operations VP-wealth Management Operations Resume Examples & Samples
- A minimum of ten years’ experience in Trust Administration, Trust Operations, or Financial Services experience
- Broad understanding of custody & clearance and asset management products
- Series 99 is required
- Experienced with FIS Trust Desk
- Experienced in the broker-dealer Trust model
- Excellent communication and inter-personal skills
- Strong coordination and facilitation skills
- High level of proficiency in Word and Excel, knowledge of PowerPoint and SharePoint
- High level of attention to detail is a must
6
Core Securities Processing Services Change The Bank VP-wealth Management Operations Resume Examples & Samples
- Define and execute change agenda by partnering with senior stakeholders (eg: Business, Technology and Operations) to define and prioritize initiatives
- Set direction and manage the day-to-day activities of the change team
- Manage a cohesive plan across all work streams
- Client management and teamwork skills: The candidate must have demonstrated ability in being flexible and working with stakeholders and colleagues at all experience levels. Experience of engaging and influencing senior leaders within the organization is essential
- Must possess college degree
- Experience working in a wealth management organization is desirable
7
Banking Services & Online Channels Change the Bank Lead-wealth Management Operations Resume Examples & Samples
- Manage a cohesive plan across all projects, ensuring a coordinated approach when utilizing client service individuals for input, testing, etc
- 5+ years of experience in program/ project management, process engineering or strategy within a financial services or operations environment
- Knowledge of Banking services
- Experience of managing multiple projects or engagements and their associated
- Experience of managing permanent and consultant resources
8
Engagement Manager Reengineering Team Wealth Management Operations Resume Examples & Samples
- Define and execute change agenda by partnering with senior stakeholders (e.g. Business, Technology and Operations) to understand and prioritize initiatives
- Become a trusted advisor and partner to senior management on achieving tangible performance improvement
- Train other team members in core consulting and process-engineering skill sets
- Lead multiple diagnostics/analysis efforts to identify platforms, processes and organizations that require enhancement/streamlining and identify ways to make them more effective
- Partner with senior stakeholders to ensure that tactical and strategic implementation plans are put in place to achieve projected savings and performance improvements
- Manage a cohesive plan across multiple projects, ensuring a coordinated approach
- 7-10+ years of experience in program/ project management, process engineering or strategy within a financial services or operations environment
- Leadership skills: The candidate must have experience of leading multiple projects and personnel. Experience of managing and developing talent at different levels of experience is also essential. Ability to lead/manage group meetings to include senior stakeholders
- Problem solving skills: The candidate must have the ability to identify complex risks early and develop actionable mitigation plans. The candidate must also have experience of using process diagnostic/ reengineering and consulting skills to develop precise and actionable recommendations for target state processes, org structures and technology requirements
- Must possess college degree; MBA is desirable but not a pre-requisite
- Experience in the wealth management or investment banking is highly desirable
9
Operational Risk VP-wealth Management Operations Resume Examples & Samples
- Independently review, challenge and support risk management activities
- Become familiar with all operational activities of the department, aiding in the ability to identify process and control weaknesses
- Identify operational risks and emerging trends, through analysis of assessment results, key risk indicators and risk event data. Escalate material operational risk issues and incidents to relevant functional management and/or the relevant committees as appropriate. Evaluate the effectiveness of risk mitigation projects and corrective actions
- Facilitate the Risk & Control Self-Assessment (RCSA) process
- In response to material risk events, whether internal or external, conduct independent deep dive reviews and assessments to determine root cause(s), assess control environment, escalate issues and identify/monitor remedial actions to mitigate against the risk of future losses
- Consult with internal groups such as Firm Operational Risk, Enterprise Operational Risk Control, Compliance, Legal, and other Operations teams on matters related to risk controls, self-assessments, incidents and infrastructure projects
- 7-10 years financial services experience in control function such as op risk, compliance, or audit
- Robust understanding of Wealth Management Operations
- Excellent writing and verbal communication skills; presentation skills
- Bachelors degree or equivalent in related field
10
Capital Markets Core Processing VP Wealth Management Operations Resume Examples & Samples
- Daily oversight of a team or teams led by a Director that is responsible ensuring daily tasks are completed
- Ensuring that team remains in compliance with all procedures, WSP's, and regulations
- Ongoing review of daily work through the use of metrics reporting that focuses on volume and risk metrics
- Ongoing review of processes with a focus on reducing risk and creating efficiencies
- Ability to manage a global workforce in multiple locations
- Overseeing the onboarding process of the Institutional Middle Market, Wealth Management Futures and Wealth Management FX clients
- An understanding of the Wealth Management and Institutional client account onboarding process flows
- Experience in a Client Service/Client facing role
- General knowledge of the Equity, Fixed Income, Futures and FX product suite
- A basic understanding of the KYC and AML processes
- Ability to drive improvements to current processes outside of CTB enhancements
- Acting as an escalation point for both the business unit and staff
- Collaborating with Operational management, sales, and trading desks to diminish risk through escalation and strong communication
- Acting as a process owner and being accountable for all outstanding items
- Developing and improving existing processes and reporting
- Strong analytical, organizational, and verbal and written communication skills
- Strong Microsoft Excel and Word skills
- Strong IT skills and proficiency with Microsoft Office applications (particularly Excel)
- Strong settlement product knowledge (FID, Equity & FX)
- Experience in Fixed Income Derivatives, Foreign Exchange, settlements, cash management, funding, stock loan, Treasury risk management, regulatory is desired
11
Global Wealth Management Operations Derivatives Partner H6 Resume Examples & Samples
- Basic knowledge of the equity, options, and debt markets
- Excellent written and verbal skills
- An aptitude for problem solving and an ability to make decisions under pressure
- Strong analytical skills
- Detail oriented
- Prior experience supporting a trading or internal sales desk is preferred
- College degree preferred
- FINRA Series 7 or willingness to obtain
- Completed 3-5 hours of "Investing in You" training for current Investment Solutions & Client Onboarding Services associates
12
Client Correspondence Department Service Professional Wealth Management Operations Resume Examples & Samples
- The ideal candidate will possess exceptional writing skills (writing sample is expected with resume)The ideal candidate will have knowledge and some level of expertise in brokerage or banking operations
- Exceptional phone presentation skills
- Able to perform efficiently in a fast-paced, changing environment, handling a wide variety of tasks
- Strong initiative and drive
13
Wealth Management Operations Specialist Resume Examples & Samples
- Input sensitive and private data into an internal operations accounting system. Must be done accurately and efficiently
- Work with complex banking transactions. Will also look for and identify possible risks and fraudulent activities to both customers and Great Western Bank
- Respond to customer inquiries, troubleshooting and resolving issues, and follow-up both by telephone and email
- Become a resource for internal customers
- Ability to train fellow employees and oversee projects within the Wealth Management Operations Department
- High school diploma or equivalent required; Associates or Bachelor’s degree beneficial
- Two plus years of Trust or Financial operations or administrative experience preferred
- Possess knowledge of trust and wealth management products and services
- Must possess the ability to multitask in a professional, fast paced, and high traffic environment
14
Client Correspondence Department Service Professional Wealth Management Operations Resume Examples & Samples
- Ensures that all electronic CCD complaint case files are safely maintained
- Supervises the preparation of compliance reports
- Definition and supervision of Analysts’ performance
- Training of new Analysts and cross-training of all Analysts
- Responsible for dissemination of all relevant business information (steers the sharing of ideas, experiences, etc.)
- Responsible for Analysts’ coaching and career development
- Review/supervise generation of reports
- Generate evaluations
- Supervise the handling of all emails received in email boxes (client advocate, indivfeedback, client correspondence)
- Evaluation of capacity plan data provided by NCCO
- Responsible to staff Client Advocate line adequately
- Handle inquiries from Analysts relative to their cases
- Handle escalations from clients (received via the Client Advocate line or other escalations such as system- or case-related)
15
Private Banking Lending Operations Associate Wealth Management Operations Resume Examples & Samples
- Reviewing client collateral accounts for eligibility
- Client Documentation review and management
- Process client maintenance requests
- Escalation of issues to management
- Clear understanding of rules and regulations as pertaining to daily functions
16
Capital Markets & Core Processing Associate Wealth Management Operations Resume Examples & Samples
- In-depth knowledge of DTCC and International corporate action and redemption processing routines, systems, and methods
- Possess knowledge of corporate action/redemption reconciliation including reconciliation with the depositories, interim accounting, fail tracking, and claims processing. Sound reconciliation, research and analytical skills required
- Possess understanding of how an individual’s processes impact the overall client experience. Demonstration of a thorough understanding of Client Reporting, including statement presentation, tax reporting, and Gain and Loss is required
- Strong communication skills (both written and verbal) to interact with external contacts at depositories and agents, and interact with all levels of internal clients up to the officer level
- In addition, individual should understand process drivers and vendor announcement sources. Work to augment technical skills as needed
- Effective risk management, complex problem solving and ability to perform in a high pace environment
- Ability to work and drive results both within a team and independently
- Quick learner and ability to adapt to change
- Ability to think strategically and develop and execute both short and long term solutions
- Ability to complete tasks in a timely and accurate manner, utilizing available tools to expedite the process
17
Capital Markets Client Onboarding Analyst Wealth Management Operations Resume Examples & Samples
- Client service mindset
- Proven ability to work efficiently and accurately under pressure in a fast paced multi-tasking environment
- Strong MS Excel and PowerPoint
18
Collateral Management Associate Wealth Management Operations Resume Examples & Samples
- Series 7 registration preferred or the ability to obtain
- Knowledge of Regulation T and FINRA rules
- Knowledge of Equities, Fixed Income Products, and Options
- Desire to work in a Team Oriented environment
- MS Suite literate (Excel, Word, Access, Outlook)
- Ability to listen and communicate effectively with others both verbally and written
- Ability to relate well with others and build relationships
19
Private Banking Operations Specialist Wealth Management Operations Resume Examples & Samples
- Bachelors degree; business or economics degree preferred
- Knowledge of margin/securities based lending
- Excellent organizational / time management skills
- Strong research / analytical skills
20
AM Global Wealth Management Operations Resume Examples & Samples
- Build and maintain relationships with internal partners
- Provide support in the validation of action plans and audit findings
- Collaborate with risk colleagues and provide support in the tracking of risk milestones
- Performs analysis on an ad hoc basis
- Approver for security access including IBID and EURC
- Owner of client onboarding profiles and process/procedures
- Owner of off boarding process/procedures
- Accuracy of Data Quality information
- Series 99 required within 120 days from hire
- Bachelor’s degree in relevant discipline
- Ability to collaborate with colleagues and partners to document/map processes, identify gaps, key controls, and translate into written materials used in discussions/presentations
- Ability to learn and understand the details, and translate to the macro
21
Alternative Investments VP-wealth Management Operations Resume Examples & Samples
- Operations Line Experience: Significant experience in complex product processing environment preferred
- Knowledge of Wealth Management products and services
- Experience working in a wealth management organization is highly desirable
22
Wealth Management Operations Executive Assistant Resume Examples & Samples
- Telephone coverage, (Ex. answer phones, take accurate messages, know executives’ whereabouts at all times, handle urgent/confidential calls with appropriate judgment; back-up other lines, as needed.)
- Ensure thorough preparation for all meetings - this requires proactively requesting all materials in advance of meetings. All materials for the next business day must be collated and presented to executive on the prior day
- Manage a highly-structured filing system, correspondence, documents and personal files
- Retrieve historical files in a timely, efficient manner
- Heavy interaction with high-level executives; act as liaison with clients and their assistants
- Maintain executives? calendar, schedule all meetings and conference calls, field e-mails and phone calls requesting meetings, handle meeting conflicts and prioritization issues
- Type correspondence, memos and presentations, prepare presentation and meeting materials; copy, collate, bind
- Update and maintain senior management teams’ shared calendar
- Navigate Firm’s resources, interface with various departments on behalf of executives to collect information, respond to requests, obtain services
- Send and retrieve digital faxes
- Responsible for distributing executives’ mail, prioritize; arrange messenger and overnight package services
- Miscellaneous support: setup and maintain mail groups, maintain office supplies, fully-functioning work area
- Coordinate all related conference rooms including any catering, audio/videoconference set up
- Arrange all aspects of travel. Including keeping executives’ travel profile up-to-date, manage approvals for any travel. Arranging flights, hotels, rental car and sedan service, currency exchange using agency and online services
- Handle personal work as directed
23
Am-wealth Management Operations Resume Examples & Samples
- Processing and validation of regulatory documents
- Tax investigations
- Acting as a liaison between front office and other operations teams
- Process reengineering
- Projects
24
Asia Wealth Management Operations Resume Examples & Samples
- Manage internal and external fraud risks related to asset transfers, client static data changes and account dormancy through support of independent callback process
- Managing independent callback requests from the business
- Initiate outgoing calls to the client together with the Sales Team and performing the role of an independent party to authenticate the client's identity and request
- Participate or perform independent callback for changes to client contact information, specimen signature and asset transfers
- Ensure that client instructions are complete and required documents are duly completed prior to conducting a callback
- Verify client account details using internal systems and determining if there are exceptions which require Client Identification Validation (CIV) to be performed
- Extract and prepare the CIV questions/answers based on client profile and account(s), from relevant systems/repositories
- Liaise with business to clarify any discrepancies
- Escalate any risk issues to management*LI-IN1
- 1-3 years experience in banking operations (preferably cash/security processing)
- A high level of personal commitment
- Ability to work in a fast pace environment
- Good risk awareness
- Ability to exercise appropriate discretion in performing CIV callbacks, based on client profile
- High levels of accuracy and numeracy
- Ability to converse in English, Mandarin and Cantonese
25
Analyst Wealth Management Operations Resume Examples & Samples
- A high degree of accuracy
- Proficiency in Microsoft office
- Quick learner; strong analytical and problem-solving skills
- Ability to attend many tasks simultaneously, with frequently changing priorities
26
Wealth Management Operations Resume Examples & Samples
- Accurately and effectively administer and oversee day to day portfolio management of fee based accounts including but is not limited to
- Opening and Closing of Portfolio/Fee based accounts including the establishment of cost bases on individual investments parcels
- Account billing processes
- Income distribution
- CGT calculations
- Portfolio reconciliations across the various platforms
- Quarterly and ad-hoc portfolio performance reporting
- Annual tax reporting
- Management of market transactions including the processing of managed fund applications
- Client Service offering to assigned wealth management branches within Australia
- Continually review procedures and amend accordingly, ensuring key risks and controls are adequate
- Act as primary Portfolio Service contact with legal and compliance teams regarding policy / regulatory changes
- Active leadership in the planning, support, and implementation of all aspects of Portfolio services and
- Ability to interpret regulatory body (ASIC, ASX) rules and apply to the business in the context of Operations control points
- Good knowledge of Australian securities regulations and compliance requirements, including ASX Market Rules, Securities Clearing House Business Rules, Australian Clearing House Rules, Corporations Act and ASIC policies
- Exposure to the Australian and global securities markets
- Solid understanding of corporate action events
- General understanding of tax implications on market and non-market transactions
- Ability to assist in identifying risks and minimise potential liabilities to the business
- Experience and exposure to IT platforms with the ASIC/ASX platforms, specifically portfolio, settlement and clearing systems
- Well developed business writing skills including the preparation of presentations with a target audience of up to Executive Director
- Possess excellent oral and written communication skills. Deliver engaging, informative, well-organized presentations
- Desire to win, to be creative, persistent, and demonstrate commitment
- Ability to effectively navigate in ambiguous situations and highly complex environments and develop creative solutions
- Ability to work under pressure and to tight timeframes
- Ability to multi task and deliver projects within specified deadlines
- The ability to accurately interpret market data through various systems will be extremely critical. As well as a keen eye for compliance and risk issues
- Sound understanding of equity markets, derivatives and lending principles
- Comprehensive understanding of end to end processes for all margin lending related products, including back office/operational functions
- Demonstrate strong operational knowledge/skills such as trade execution, settlements, cash movements, corporate action, administration and reconciliation process within the ASIC/ASX environments
- Strong project management and skills on large scale, complex improvement programs with multiple work plans with an investment operations environment
- Experience in operational transformation and driving improvement, including development of target operating models, finance structures, design and implementation of processes and supporting systems*LI-IN1
- Desirable tertiary qualification in Finance, Economics or Commerce
- Desirable PS146 accreditation
- Minimum 7 years financial markets experience
27
Asset Management Global Wealth Management Operations Resume Examples & Samples
- Works closely with business and operations management, legal, compliance, audit, SOX, etc
- Works with Firm-wide and Line of Business operations risk management teams
- Provide support in significant risk initiatives
- Engage in root cause analysis
- Amass, assimilate and synthesize data into concise executive level presentations
- Daily monitoring and review of Reg B Control Reports for CLT and Custom Underwriting
28
Wealth Management Operations Securities Processing Analyst Resume Examples & Samples
- Having 5-7 years of work experience in Financial and investment banking operations
- Must have knowledge and experience of Trade settlements, Corporate actions and Paid income and Fee reconciliations
- MS Word and Excel is must
29
Wealth Management Operations Australia Resume Examples & Samples
- Fluent in English and one or more of the following languages: Japanese, Mandarin, Cantonese
- Highly motivated professional with problem solving ability, and personal accountability
- Excellent and efficient communication (written and oral), and listening skills
- Ability to learn quickly and apply knowledge to various situations
- Experience with equity compensation and related stock programs
30
Private Banking Operations VP-wealth Management Operations Resume Examples & Samples
- Review Supervisory risk reports
- Overseeing and management of periodic updates to policies and procedures
- Liaising with senior management and product stakeholders as necessary
- Loan review and approvals
- Assist in handling Branch and field related escalations
- Work closely with both internal and external auditors on managing audits
- Ability to drive franchise enhancing initiatives to completion
31
Alternative Investments Operations VP-wealth Management Operations Resume Examples & Samples
- Maintain relations with Funds as pertains to Operations, i.e. Fund launches -Provide premier operational services to high profile FAs
- Process Financial Advisor Compensation & fees
- 7-10 years of experience in the financial services industry
32
Product Group Services VP-wealth Management Operations Resume Examples & Samples
- Wealth Management Advisor background
- Background in Advisory Business (Billing, Programs and Account Set up)
- Experience in writing and executing Test Cases
- Develop an understanding of current working practices in the line
- Document business rules and reference data requirements
- Liaise with Operations and Business Unit to ensure that business requirements have been correctly understood and documented
- Liaise with IT colleagues to ensure that business requirements are clearly understood
- Become a key contact for IT colleagues to assist on query resolution during system design and build
- Produce and distribute minutes of analysis meetings
- Remain current with all other areas of analysis across the Change program
- Oversee/carry out documentation of test scripts
- Plan, test and control deployment and verification process
- Produce user manuals and reference materials, as required
- Produce training materials and participate in the delivery of training, as required
- Experience in Advisory Operations, Management Experience, Strong in Excel, Macros, Project, Visio and Power Point
33
Wealth Management Operations Intern Resume Examples & Samples
- Must be able to work in a deadline-oriented environment
- Must be proficient in basic software applications, such as Microsoft Excel and Word
- Strong problem solving and analytical skills
- High level of attention to detail is necessary
34
Product Operations & Services Field Facing Change the Bank-VP-wealth Management Operations Resume Examples & Samples
- 8 - 10 years of experience in program/ project management, process engineering or strategy within a financial services or operations environment
- In depthg knowledge of Wealth Management products and services
- Analytical skills: The candidate must be highly analytical with experience in using objective data to drive strategic recommendations
- Experience in the wealth management is desirable
35
Wealth Management Operations Service Professional Resume Examples & Samples
- Financial services/banking/ brokerage experience preferred
- Bachelor degree is preferred
- Exceptional phone conversation skills
- Strong organizational skills, attention to detail, and excellent follow-up skills
- Ability to be self-motivated and succeed in a team atmosphere
- Candidates must have flexibility in work schedule
36
Wealth Management Operations Resume Examples & Samples
- Work with Front Office Product Desks, Investors, Financial Advisors, and Client Service on trades in respective asset classes
- Compile MIS data for management
- Document procedures and process flows, and ensure they are kept accurate
- Coordinate with various areas of Operations, Middle Office, Finance, IT, Risk, Compliance on business requirements, procedures and processes
- Assist with day to day Front Office, Client and Broker inquiries
- Strong interpersonal, communication and presentation skills
- 3+ years tangible of Middle Office trade support experience
- Process driven, and at ease with responding to high pressure deadlines
- Strong Excel and PowerPoint skills
- Bachelor’s degree is highly preferred
37
Wealth Management Operations Site Lead Resume Examples & Samples
- Staff management with project and problem analysis, effective communication with management onsite and in other locations
- Represent the team(s) at various senior forums, locally and internationally
- Supervision of large or multiple teams with accountability for quality assurance, controls and people management
- Continuous focus on optimizing efficiency and control by understanding, reviewing and implementing processes, systems and procedures in the context of a growing business with increasingly complex product offerings
- As the senior Operations manager, candidate will be expected to provide coverage and assistance outside of their direct responsibilities
- Strong track record in managing large departments or groups in multiple regions/locations
- Proven financial planning experience
- Experience in partnering across different lines of business
- Wealth Management Operations Senior Management experience
- Product knowledge across a broad range of financial instruments
- Ability to make decisions with corporate perspective
- Strong commitment and exceptional drive
- Knowledge of Olympic Banking System a plus
38
Wealth Management Operations Resume Examples & Samples
- Prior Operations experience required; minimum of 15+ years of Wealth Management experience including experience servicing Wealth Management Financial Advisors/Clients
- Prior experience implementing workflow solutions for a Wealth Management organization
- Experience with Wealth Management Retirement Products
- Demonstrated leadership and vision in leading and driving strategic initiatives
- Excellent people manager displaying a collaborative work style and commitment to get the job done
- Excels at operating in a fast pace, community environment while being adept at multitasking
- Strategic thinking and influencing skills
- Ability to partner with Senior Management in both Operations & the Business
- Ability to communicate effectively using various mediums (verbal, written, presentation) both upward and with peers
- Sharp analytical skills and attention to detail
- Ability to respectively challenge and debate issues of importance to the organization
39
Head Asset Servicing for Wealth Management Operations Resume Examples & Samples
- Minimum 10 years supervisory experience in Operations
- Series 99 or equivalent
- Advanced ability to manage across locations and multi-faceted organization
- Strong people management and organizational skills
- Proven experience overseeing high risk processes
40
Wealth Management Operations Resume Examples & Samples
- Responsible for the management of departmental processes and procedures, as well as multiple individuals who must adhere to them
- Management of staff who perform review of documents submitted by financial advisors nationwide to update brokerage accounts for the firm
- Analyze needs for appropriate staffing levels, as well as staff training
- Ensure compliance with all department and regulatory (AML, SEC, FINRA, etc) requirements
- Supervise the maintenance of retail as well as managed brokerage accounts
- Assist with long term strategic planning for the department
- Will assist in risk analysis for department and across broker dealer
- Prefer candidates to hold or obtain FINRA Series 7 and 24 licenses for this position
- Brokerage Industry experience is required
- Strong problem solving skills
- Ability to communicate with department managers to facilitate operations
41
Private Banking Lending Operations Team VP-wealth Management Operations Resume Examples & Samples
- Knowledge of internal MS systems a plus
- Oversee various testing initiatives and projects
- Updating, providing and maintaining departmental metrics
- Work closely with stakeholders in technology and the business on production initiatives
- Assisting in training of newly on boarded employees
- Work closely with internal Operational Risk team to develop robust operational control framework
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Chase Wealth Management Operations Analyst Resume Examples & Samples
- Expertise in project management discipline, tools/techniques and Project Delivery Process
- Ability to lead and motivate cross-functional teams and interact with all levels (horizontal and vertical)
- Strong team building skills
- Experience using MS Word, Excel, MS Project, Access, Power Point and Visio
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Head Asset & Wealth Management Operations Resume Examples & Samples
- Postgraduate with 10+ years of relevant work experience
- Excellent communication and leadership skills required
- Ability to manage and engage with multiple stakeholders
- Knowledge in Accounting would be an advantage
- Should possess good project management and situation handling capabilities
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Wealth Management, Operations Manager Resume Examples & Samples
- Create a Tax Operations presence in Asia and drive the Tax agenda locally
- Strongly partner with client onboarding functions to create a robust quality control process of client Tax documentation
- Drive the Tax Quality Control agenda for Asia and help a new international standard of excellence
- Implement new controls and processes to ensure consistency in the region and internationally
- Manage and prioritize initiatives that are requested by stakeholders, collaborate with project managers and act as Tax SME when needed
- Build strong ties to the Asia business function partnering on Tax subjects
- Act as first point of contact for Tax related matters in Asia
- Experienced Tax Manager with several years of experience in handling complex Tax processes, ideally with people management
- Minimum of 10 years of work experience
- Deep knowledge of FATCA, CRS and US Tax reporting and withholding and related client documentation
- Strong organizational, prioritization and analytical skills
- Ability to work on several initiatives on the same time and under pressure/tight deadlines
- Manage effectively stakeholders from various areas and locations
- Ability to communicate, present effectively and tailor communication to audience
- Experience in Quality Control processes a plus
- Advanced MS access and Excel with macros knowledge is a plus
- Excellent command of English
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Wealth Management, Operations Manager, VP Resume Examples & Samples
- 5-10 years project or operations management experience
- Proven track record to develop and implement business objectives and priorities aligned with overall functional goals
- Demonstrates a consistent track record for driving results, factoring in the impact of adverse risk/control issues
- Identifies process improvements and efficiency enhancements; eliminates unnecessary bureaucracy
- Analyzes complex data repositories to fulfill regular reporting and ad hoc requests
- Adapts to a rapidly changing business and technical environment
- Strong resilience when working in high pressure, deadline oriented environment
- Proficiency in Word, Project, Access & PowerPoint. Ability to create flow charts and document process
- Expertise in Excel for both analysis and presentation of data
- Communicates clear and compelling messages and priorities to guide and motivate others; Ability to effectively communicate and influence at all levels of management
- Balances client/customer needs and best interests with those of the firm, while driving a strong control framework
