Wealth Management Resume Samples

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S Kris

Samantha

Kris

3576 Wilkinson Lock

Boston

+1 (555) 668 3261

3576 Wilkinson Lock

Boston

Phone

p +1 (555) 668 3261

Experience Experience

Chicago, IL

Wealth Management

Chicago, IL

Tillman-Stiedemann

Chicago, IL

Wealth Management

Coordination and management of large to multiple mid- level projects or other process improvement initiatives, across Chase Wealth Management Operations
Provides advice and guidance to team members within own area of responsibility to create and foster an environment of continuous improvement
Interface with business management, operations, and risk managers to develop a wide range of metrics focused on measuring efficiency, service, and control
Manage all aspects of unit performance, maintain service levels, and manage risk
Work with business functional area counterparts to develop dashboards and management reporting
Develop and manage timely and effective communications on project management times line, milestones and progress
Develop partnerships and very close working relationships with the regional event team and local business managers

present

Chicago, IL

Wealth Management

Chicago, IL

Morar-Simonis

present

Chicago, IL

Wealth Management

present

Respond to events, make tactical decisions, and execute plans . Provide guidance for HR matters, performance management, discipline, and talent management
Development and implementation of administration processes and procedures to assist Adviser Assistant team to improve efficiency and manage work-flow
Provide assistance and information to business partners, operations, control teams and portfolio managers relating to product development and management
Executes against work plans that build efficiencies and accuracy as well as enhance the overall work environment
Assist CSAs with the clients’ cash management/overdraft management, including the raising of cash for payments, capital call notices and bill payments
Assist Project Manager with ongoing management of the implementation project, maintenance of the implementation plan
Assist Lender in pipeline management and other sales management and administration activities

Education Education

Bachelor’s Degree in Attention

Ball State University

Bachelor’s Degree in Attention

Skills Skills

Extensive knowledge of the financial market fundamentals and the ability to apply this knowledge to ensure technical or professional solutions are delivered
Strong sense of accountability and ownership over "quality" and best practices around the quality, risk and controls process
Strong organisational skills and strong attention to detail
Basic knowledge of applicable policies and procedures
Ability to review, validate and authorize documentation with strong attention to detail
Quick learner: Proven ability to quickly learn the business & adapt to changing business priorities
Professional presentation and strong attention to detail
Strong knowledge of investment products with the ability to extend beyond a single product to a multi-product focus
Strong organizational and prioritization skills, detail oriented and strong interpersonal skills
Excellent written and verbal communications skills, attention to detail and strong time management skills

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Wealth Management Resume Examples & Samples

Review and respond to branch feedback utilizing customized software tools
Analyze feedback that has been received, identify trends and provide recommendations for solutions to improve the efficiency and productivity of Financial Advisors and Client Service Associates
Manage and assist the Field Experience team with execution on department sponsored projects and initiatives
Collaborate with business partners to identify and recommend business friendly solutions
Outstanding interpersonal skills and relationship management skills
Strong computer skills, including Morgan Stanley’s internal systems
Strong analytical skills - ability to identify trends
Retail branch experience; industry licenses preferred (S7, S63)
Execution oriented; self driven individual able to motivate others
Highly developed written and oral communications
Accustomed to multi tasking and assigning priority
Ability to take initiative and work independently or in teams; holds him/herself accountable
Proficient presentation skills

Wealth Management Resume Examples & Samples

General administrative duties including arranging meetings, taking minutes, collating and dispatching documents, filing and faxing
Assist with the co-ordination of client events, seminars, research and company presentations including room bookings, catering and multimedia set up
Manage office supplies including ordering and monitoring usage
Booking travel and arranging itineraries for staff
Compiling and reconciling expense claims
Correspondence - Distribution of mail and all faxes (incoming and outgoing), the daily open order report and monitoring correspondence in conjunction with Branch Manager to ensure adherence to Correspondence Policy
Manage the branch cheque handling procedures, including banking
Strength in organisational ability and time management
Professional presentation and strong attention to detail
Ability to prioritise own workload and work unsupervised
Flexible attitude and ability to remain calm under pressure

Wealth Management Resume Examples & Samples

Develop strategy and business plan for Government Entities sector
Communicate and get buy in on strategy from key stakeholders and partners
Execute the strategy, working closely with the field to ensure compliance and buy in
Work closely with a select group of FA's who have been designated as specialists in this sector
Partner with FAs on client facing meetings
Work with field management to ensure proper handoffs of clients and prospects
Ensure collaboration with legal, risk and compliance
Bachelor’s degree required or equivalent education and experience. Advanced degree preferred
Minimum 10 years of industry experience
Previous experience driving and executing a new business
Knowledge of the Government and Municipal market required
Effective written and verbal communication skills, including strong client presentation skills
Ability to organize and prioritize work, execute an assignment from conception through completion and meet aggressive deadlines
Ability to identify issues and trends, evaluate alternatives and recommend solutions
Evidence of strong leadership capabilities
Ability to interact with all levels of Firm management

Wealth Management Resume Examples & Samples

Perform various analyses ranging in development time from hours to months. Candidate must be able to generate the analytic dataset, perform the analysis and communicate results in non-technical speak
Provide regional analytics, such as those used to identify best customers to prospect and deepen relationships with
Baseline modeling to include next logical product model, financial advisor regional resource optimization, and client/household segmentation
Run ROI scenarios by establishing initial market sizing estimates, along with preliminary cost and time of entry estimates
Support new product development process using what-if scenario analysis based on past performance, market trending and relevant research data points
Interact with a wide variety of business areas including Marketing, Product, Technology, Finance, and outside vendor partnerships is required
Work effectively in cross-functional teams, having demonstrated strong partnerships with both internal and external business partners and alliances
Ability to successfully function with limited day-to-day direction by manager
Self-starter with strong and creative problem-solving skills. Ability to understand new concepts and apply them logically is a must
Need to be able to succinctly communicate ideas, recommendations orally and in writing to a wide range of audiences, as well as exceptional listening skills
Demonstrated ability to collect and organize data, conduct analysis and report on and apply results to “actionable insights/recommendations”
Ability to manage multiple projects simultaneous with short to long delivery times
Must be comfortable using base SAS. Enterprise Miner and Enterprise Guide , SQL, and R experience a plus
Some predictive modeling experience is required with proven application in applying Decision Trees, Regression analysis, etc. Must be comfortable with experimental design
Demonstrated ability to transform business needs into technology requirements that both the business and technology understand
Related financial services industry experience for at least 5 years is Required
Minimum of a Bachelor’s degree is Required with advanced business or applied mathematics degree preferred

Wealth Management Resume Examples & Samples

Ideal candidate should have 10 to 15 years in a Finance/Accounting role at a Private Bank or Commercial Bank with lending and/or mortgage experience
Ability to Multi-task and function across locations. FCG is in Purchase but Chief Investment Officer and Treasurer are in Midtown (NYC)
Strong modeling and excel skills
Understanding of Return on Equity and BASEL calculations
Strong Knowledge of Bank Deposit and Portfolio Models
Knowledge of Banking financials and accounting

Wealth Management Resume Examples & Samples

Providing administration support to the Branch Management Team
Answering incoming calls in a cordial, professional and timely manner
Scanning, storage, filing and archiving of documents
Managing the branch cheque handling procedures
Correspondence – timely distribution of all faxes (incoming and outgoing), distribution of Australia Post mail, monitoring correspondence in conjunction with Branch Manager to ensure adherence to Correspondence Policy
Assisting with the co-ordination of client events, seminars, research and company presentations etc
Assisting with overflow work from Client Services Associates as required
Strength in organsational ability and the ability to work unsupervised
High level of initiative, ability to prioritise and multi-task
A proactive approach and high level of reliability and punctuality

Wealth Management Resume Examples & Samples

Review and approve new account applications and to provide guidance to PWM sales on the AML documentation requirements for onboarding a new client
Review and approve change requests for existing accounts where required
Review and approve payments and stock transfers for client accounts
Co-ordinate and submit client tax forms for approval
Maintain various registers and circulate on a weekly basis
Assist in the preparation of fees to be charged on a quarterly basis
General administration tasks such as filing, scanning, and collecting mail
Flexibility is needed to provide support for the PWM team in areas such as project work, ad hoc administration and other duties as directed by management
Financial consultant and client focus with the ability to build rapport at all levels
Developed interpersonal, negotiation and relationship management skills, including dispute resolution and relationship building
Ability to work autonomously and to priorities tasks where required
At least 2 years experience in the Australian and global securities markets

Wealth Management Resume Examples & Samples

Prepare statistical reports and analysis for SIV Solutions
Monitor and maintain the SLA’s of service providers
Provide support to the Product Manager with the rollout of campaigns
Update and maintain the Intranet site
Liaise between the fee based team in Operations and the Product Manager to track account inflows/outflows and monitor any outstanding issues in the branches
Prepare reports for finance/Product Manager
Provide assistance in translating English to Mandarin, as required
Monitor media releases (onshore and offshore) related to SIV Solutions
Liaise and assist FA’s with coordinating meetings and supplying appropriate pitch documents
Prepare pitch documents, sales campaigns and post campaign reviews
Coordinate marketing collateral, timetables and logistics for sales campaigns
Ad hoc administrative/project work as required*LI-JM1
Proficiency at a native level of Mandarin
Experience in a finance/sales environment
Maintain client relationships
Advanced in Microsoft Word, Excel and PowerPoint
Appropriate tertiary studies
Operations or procedure writing experience
Experience working in a retail fee business and reporting platforms

Wealth Management Resume Examples & Samples

Helps coach and motivate a team of Wealth Management Advisors to achieve the goals of the unit. Ensures Advisors are utilizing internal resources, including the Estate Planning, Portfolio Management, Insurance Planning teams, etc
Responsible for developing and maintaining an active pipeline of internal and external talent that can be used to fill future Advisor openings
FINRA Series 7, 24 and 66 required. Position also requires home office and resident state insurance and registrations in jurisdictions where the position will be training or client facing, FINRA GS/GP and home office state RA registration. Candidate must have appropriate FINRA license/s or must obtain them within three months or taking the position. Industry designations such as CFP desired
Prior sales management experience required. Must have demonstrated superior sales management expertise and coaching/motivating/developing staff
Excellent strategic planning, people management and communication skills

Wealth Management Resume Examples & Samples

Serve as TIAA-CREF's primary point of contact for high net worth and affluent clients
Manage and develop an assigned book of business of client relationships (approximately 400) across TIAA-CREF's products and services while complying with all regulatory requirements
Responsible for growing the book of business through identifying value-added products and services for clients, identifying and acquiring client assets held outside of TIAA-CREF and developing additional business through referrals
Build and solidify client relationships pre- and post-retirement through a distinctive experience that leverages the unique value proposition of the Individual Advisory Service's business
Manages client relationships with the goal of developing first call status for all financial planning needs
Coordinates communications among a client’s account team and across applicable institutional segments
Some local travel may be required
Minimum of 3 years of demonstrated advisory, client management and sales experience providing complex financial planning services for high net worth and affluent clients
Strong track record in generating sales and a broad background in retirement products, general investment matters and applicable tax and estate planning issues
Excellent interpersonal skills and face-to-face relationship building abilities
Demonstrated experience in understanding client's financial situations and personal circumstances
Demonstrated ability to deliver a distinctive and thoughtful experience that is aimed at providing appropriate advice for the client's situation that secures confidence and business
Demonstrated experience in communicating both written and orally with clients
Competent computing skills that include working with the Microsoft Office suite, CRM and proprietary systems
Professional designation of Certified Financial Planner (CFP) also strongly preferred

Wealth Management Resume Examples & Samples

Provide solutions to elevated Risk and Administrative issues within the State
Responsible for identifying and providing guidance to the relevant State Manager on risk issues within their State
Develop strong working relationships with State staff to facilitate a harmonious State environment
Responsible for providing guidance to advisers relating to their regulatory and risk obligations as well as proactively managing problem areas when they are identified
Undertaking detailed documented account reviews including all discussions with the Financial Advisor and any client contact
Provide guidance and sign off for complex accounts across all product suites including, equities, wholesale, options, fee based, discretionary and international accounts
Work with the Compliance team in respect of Complaint resolution
Provide risk oversight support to other State Risk Managers when required
Work closely with National Risk to enhance the supervisory framework and contribute to projects as needed
In conjunction with the State Manager, ensure the Branch maintains the ethical standards contained in the Company Code of Conduct; firm policies and procedures, regulatory and legislative requirements
Detailed knowledge of Australian and US securities regulations and compliance requirements, including ASX Market Rules, Securities Clearing House Business Rules, Australian Clearing House Rules, Corporations Act and ASIC Policies
Ability to identify risk and minimise potential liabilities to the business
Extensive knowledge of the financial market fundamentals and the ability to apply this knowledge to ensure technical or professional solutions are delivered
Leadership skills, with the ability to initiate, develop and lead relationships and business transactions
Strong client focus with the ability to build rapport at all levels, both internal and external
Highly developed interpersonal, negotiation and relationship management skills, including dispute resolution and relationship building
ASIC RG 146 compliant
ADA 1 & 2
Tertiary qualifications or recognised industry qualifications essential
Experience in a management capacity
Experience in financial markets risk/supervision is essential, with a strong understanding of stockbroking trade flows and operations

Wealth Management Resume Examples & Samples

Manage trade execution teams for ASX, ETO and international markets
Ensure trade execution is in compliance with ASIC Market Integrity Rules
ASX Responsible Executive for trade execution function
IRESS relationship manager for trade execution systems
Lead change projects relating to trade execution systems and processes including DMA, Algo and relevant regulatory changes
Assist in formulating business strategy for trade execution
Maintain relationship with Morgan Stanley institutional dealing desk
Experienced in trading ASX equities and exchange traded options
Comprehensive knowledge of IRESS order entry system, order execution algos and order routing systems
Experience in managing system change projects including UAT
Detailed knowledge of Australian securities regulations and compliance requirements
Comprehensive knowledge of the stockbroking industry and an understanding of trends and drivers
Excellent financial and risk management skills
Strong and proven leadership
A deep understanding of financial services and wealth management is highly desirable
Track record of managing complex internal and external relationships
Ability to work calmly under pressure
Shows excellent attention to detail
Ability to work and deliver with minimum supervision
Ability to multi task and deliver results within specified deadlines
Extremely well organised
Works collaboratively as a team
RG146 accredited
Tertiary qualifications
Previous Supervisory / Management experience
Ensure the business unit adheres to firm policies and procedures, regulatory and legislative requirements
Knowledge of financial services industry regulation, with an emphasis on Market Integrity Rules
Strong risk and compliance understanding

Wealth Management Resume Examples & Samples

Follow all procedures and controls within the Operations team
Resolve issues in a timely manner
Process quarterly and monthly valuations for our Sponsored Funds
Process transactions and valuations for all Centralized Funds
Review Subscription Agreements and redemption requests
Bachelor’s degree with a focus on Accounting, Finance, Economics, Mathematics or Business
1 - 2 years of Investment Operations and/or Accounting experience
Proficiency in Microsoft Excel is a must
Computer literacy skills are required
This position requires strong verbal, written and interpersonal skills; exceptional analytical and organizational skills, an attention to detail and the ability to work in a team environment, with a positive and professional attitude
Must have the ability to work in a fast-paced environment and to effectively multi-task

Wealth Management Resume Examples & Samples

Performing regular controls thus ensuring data quality across the Credit and Market Risk infrastructure
Analysing material movements in risk exposure to determine reasonableness and drivers
Input and maintenance of Risk owned data, including internal ratings and limit points
Providing support to the Risk community for exposure, data, and system queries
Managing exposures, especially those in excess of Risk appetite
Daily management of shortfalls & excess, reporting and risk escalation to Senior Management
To monitor credit risk exposure on a given portfolio of collateral and to act upon and report excesses and negative trends within that portfolio. Typically, this includes responsibility for margin call and close-out processes, daily control of all shortfalls and excesses and ensuring compliance with applicable policies and procedures
To handle queries and act as Advisor to our internal clients; mainly Originating units, Credit Risk Officers, Servicing Unit and Business Managers
Preparation of periodic risk reports to Management
Management of the data quality processes; and provision of premium support to the Risk Officers and Risk Reporting teams globally
Undertaking the routine administrative operation of Credit Risk Department in accordance with the company’s Credit procedures and policies
Assisting Credit Officers on monitoring daily credit requests and queries
Providing credit reports (e.g. letter of undertaking reports, credit overdue reports, amortization report and other monitoring reports) to Markets or other counterparties
Assisting CAs with their credit related queries
Liaising with outside parties, like lawyers and external valuation firms, to arrange mortgage related matters
Assisting with Monitoring team to rectify some unmapped OTC trades
Ensuring credit conditions are in line with the credit proposal
Monitoring some credit conditions in a regular basis
Co-ordinate with business and support units on IPO Financing and consolidate all the application for reporting
Responsibility for defining new business processes and improving the existing operating procedures
Change project related activities such as involvement in defining business requirements and support of User Acceptance Testing
Degree graduate, preferably with Business/ Maths/ Economics/ Finance background
At least 2-3 years of relevant experience in Banking, preferably within a Risk Control function. Credit Risk knowledge being a distinct advantage
An effective verbal and written communicator, fluent in English, spoken and written
Reasonably skilled in the use of Microsoft Office applications, with advanced skills in Excel and MS Access being advantageous
A fast learner with the ability to get up to speed quickly with new processes and IT applications/ infrastructure
Outgoing and personable, with the confidence to deal with varied groups of stakeholders and levels of seniority
Able to work to tight deadlines and handle business pressures
Reasonably numerate
Highly organised, with the ability to balance numerous tasks and responsibilities

Wealth Management Resume Examples & Samples

Support Alternatives Team:Assist in execution, trade settlements, pre-trade compliance, subscriptions and redemptions. Liaise with middle office, accounting controllers, portfolio administrators, structuring and other support groups for day-to-day portfolio operations. Develop and maintain quantitative tools to help implement complex investment strategies and right size investment allocations. Engage with due diligence teams to analyze current and prospective managers to evaluate various industry-standard and proprietary risk metrics. Responsible for continuously tracking global market movements and portfolio impact
Client/Investment reporting:Client reporting: populate the content of monthly fact sheets, including performance, allocations, risk metrics, contribution and other portfolio analytics. Assist dedicated Investor Relations and Marketing teams in developing quarterly client investment reviews to illustrate portfolio positioning, investment themes and tactical trades. Communicate with investors on portfolio performance, investments and market outlook. Support internal and external meetings to discuss portfolio positioning and outlook
Investments and Portfolio Management:Participate in the Investment Committee to discuss economic and market outlook and the impact on investment decisions in broad portfolios. Become familiarized with Wealth Management's investment product offering across equity, fixed income and alternative assets. Actively engage asset class solutions teams. Participate in the development and execution of investment views

Wealth Management Resume Examples & Samples

Assist in the management of all procedures and controls within the Operations team
Resolve issues and implement controls
Train/mentor junior analysts
Subject Matter expert on operational functions for the firm
Review quarterly and monthly valuations for our Sponsored Funds
Coordinate and review all audit and tax reports
Assist in the review of subscription agreements and redemption requests
Assist in the oversight over the Sponsored Funds key vendors
Bachelor’s degree with a focus on Accounting, Finance, Economics, or Business
3 – 5 years of Investment Operations and/or Accounting experience
Experience with Hedge Funds and Private Equity Funds
Experience with Hedge Fund or Private Equity tax reporting preferred
Expanded knowledge of investments, security analysis and industry related expertise

Wealth Management Resume Examples & Samples

Answer incoming calls in a cordial, professional and timely manner
Scanning including storage, filing and archiving of all scanning documents
Manage the branch cheque handling procedures
Correspondence – timely distribution of all faxes (incoming and outgoing), distribution of Australia Post mail, monitor correspondence in conjunction with Branch Manager to ensure adherence to Correspondence Policy
Assist with the co-ordination of client events, seminars, research and company presentations etc
Assist with the Access Card requirements of the Perth Office
Assist with the opening of Staff Trading Accounts
Provide administration support to the Branch Management Team
Assist with overflow work from Client Services Associates as required
Cooperate with the Branch’s cross-training requirements as directed
Any appropriate office duties that the Branch Management Team request to be done
Greet clients upon arrival, offer refreshments, etc
Answer main switch in a cordial, professional and timely manner
Coordinate the RSVPs for all branch events/meetings both internal and external
Organise couriers
Distribute new account documents & required notification to clients & review new account forms for accuracy & completeness, including input of client banking details
Assign account number and provide Financial Advisors with completed new account forms after management approval
Arrange & assist with CHESS & sponsorship, off-market, broker to broker and issuer to CHESS transfer of client documents
Authorise access & respond to client queries from the Website
Adhere to Company policies and procedures, regulatory and legislative requirements
(Secondary/tertiary/professional/licences/languages, etc)
Recognised industry studies preferred but not essential
Front office administrative and/or operations experience preferred
1 or more years experience within a broking environment highly desirable

Wealth Management Resume Examples & Samples

4 year college degree with outstanding academic credentials
3-5 years AML experience and strong analytical skills
Excellent written and verbal communications skills, attention to detail and strong time management skills
The ability to interact in a mature and professional manner with a variety of individuals
General knowledge of investing and markets and the ability to research or must evidence the ability to learn and adapt quickly
Excellent judgment, initiative and adherence to deadlines
Ability to interact with branch and business unit personnel and be willing to receive and apply feedback on work product from supervisor(s); and
Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire
Candidate should be a highly responsive team player who can think independently
Must be able to maintain a positive and professional attitude in a fast-paced environment
Spanish or Portuguese a plus

Wealth Management Resume Examples & Samples

Managing four distinct Compliance testing groups covering the branches in the field, the non-branch OSJ entities within Wealth Management, targeted assessments, and the Operations testing team. In addition, there are Quality Assurance assets and a unit Operations officer under the scope of this position
Establishing annual testing plans covering each functional area referenced in the first point above, closely coordinating with the Internal Audit Department to ensure maximum testing coverage and minimal duplication of effort
Continually liaising with other areas of the Compliance Department, Legal and Risk in order to stay current with changes in policy and procedures impacting the businesses across the organization
Proper execution of the annual test plan in accordance with Firm testing standards
Periodically furnishing various parties which are both internal and external to Compliance, with metrics and other information covering audit results from each of our testing programs
Representing the Inspections Group in front of Senior Management and the Field to present overviews of the team and provide audit related information pertaining to annual testing programs, testing results and suggested improvements to processes and procedures
Overseeing the development of training programs to provide audit staff with the necessary tools and information to carry out their responsibilities in an efficient and effective manner
Prior experience in the Financial Services audit profession is highly preferred, with strong interpersonal and management skills
Four year college degree a must, with Advanced degrees preferred, but not required
10+ years in the Financial Services Auditing or related professions
The following are preferred but not required for this position: Certified Public Accountant, Certified Internal Auditor, Certified Fraud Examiner, Series 7, 14 and 24

Wealth Management Resume Examples & Samples

Designs and implements policies and procedures for the group - .CRC, Wealth Management Outreach Consultant, Regional Manager, and/or Wealth Management Investment Specialists and participates in developing and establishing company-wide policies and processes across TIAA-CREF departments
Ability to supervise advisor team in Wealth Management Director's absence. Provides sales coaching for WMAs of partner Director team
Lead and contributes to strategic projects that drive the direction of the team, region and Individual Advisory Services Group
Is aware of the need to effectively manage risk along all relevant categories, i.e. people, reputational, operational risks, etc
Proven ability to work independently and demonstrate ownership of a practice
Implements policies and procedures for the functions managed; and, participate with other areas in developing and establishing company-wide or area-specific policies and processes (ie. Operations, Brokerage, CAG, Participant Services)
Works on cross-functional project teams and builds relationships within TIAA-CREF (e.g. Brokerage, Operations, Participant Services, FCG)

Wealth Management Resume Examples & Samples

Monitor, analyze and process trading transactions in our proprietary and vendor systems
Work with brokers and custodian banks to resolve trade settlement problems in a timely manner
Process trade corrections on any identified errors. Work with compliance and various other teams on the reporting of these errors
Security Master Setup on our trading platform for a limited range of securities
Maintain broker and custodian information accurately within the trading system and various other systems
3 - 5 years of Investment Operations and/or Accounting experience
Securities industry knowledge preferred
Charles River Development knowledge a plus
Computer literacy skills are required. Proficiency in Microsoft Excel is a must

Wealth Management Resume Examples & Samples

Production of management reporting presentations, analysis and support
Support weekly / monthly financial Forecasts, Annual Budgeting, and CCAR processes
Measure and analyze financial performance against key business metrics and provide supporting analysis to enable management to measure progress against goals
Coordinate with business partners to refine and develop reporting environment for non-financial metrics, key performance indicators and report delivery
Monitor financial close and coordinate with Controllers
Drive and facilitate special projects
B.A. / B.S. Accounting / Finance, or other related field
Minimum 2 years of relevant experience
Self-motivated, ability to work independently as well as within a team environment
Basic understanding of financial reporting systems, procedures, and controls
Ability to make creative and effective use of systems and technology (including MS Office Suite)
Ability to thrive in a fast-paced, rapidly growing, dynamic, performance-driven environment

Wealth Management Resume Examples & Samples

Handles inter-departmental liaison/coordination between Front Office and Infrastructure divisions
Minimum 3 - 4 years of experience in a similar role within a private bank
Good knowledge in financial markets, instruments, products and services
Good understanding of the financial markets, trends, regulations and policies
Self driven individuals who are tenacious and focused, with the ability to work under pressure

Wealth Management Resume Examples & Samples

As the Structured Product Specialist you will report to the desk head in Singapore, and will be primarily involved in all flow pricing and executions from the region
The products of primary coverage will be equity linked Accumulators, Deccumulators, ELNs, Fixed Coupon Notes and Options and combinations thereof
In addition you will be required to handle after sales matters and queries with regards to products handled by the bank
You will be required to partner with various teams and team heads to and work on product pitches and product idea books
You will be required to partner with various teams and work on multiple automation projects, automating using VBA and SQL where required and getting involved in system testing, workflow revamp exercises etc
Over time you will also be required to furnish trade ideas and publish them on a daily basis, speak with sales to promote the desk driven ideas and work on preparing the relevant sales material
In addition over time the daily dealing and structuring product scope will expand to more bespoke products around indices, rates, commodities, credit and fund derivatives

Wealth Management Resume Examples & Samples

Co-ordination of Adviser Assistants in office including recruitment, induction, learning and development, career development and employee relations
Development and implementation of administration processes and procedures to assist Adviser Assistant team to improve efficiency and manage work-flow
Develop and facilitate office initiatives such as staff social events, charity events and fundraising
Provide support for marketing initiatives, sponsorships, client events and boardroom functions for the business, State Manager and Advisers
Overseeing facilities and equipment management, invoice processing, local OHS requirements and managing office costs including expense management, inventory control, staff leave and asset management
Supporting the enforcement of quality standards
Ensure client focus and satisfaction - proactively follow and support advisers regarding sales opportunities (appointments, plan conversions, paperwork, invoices etc)
Assisting with client enquiries - first port of call for advisers' clients
Providing general assistance to advisers
Supporting corporate action, capital market activities
Information handling and preparation - complete and check paperwork on advisers behalf. Preparation of and participation in reviews
Maintaining an understanding of the financial investments industry

Wealth Management Resume Examples & Samples

Manage the timely preparation and analysis of Global AM/WM Management Reports through the use of various applications such as GGLRep+, Janus Essbase and Cognos Café (GMIS)
As part of QA 4 Box model perform second level control point checks and ensure that Key Control Points are properly performed at all times (input oriented and process control checks). Perform QA (checklist) on outputs delivered by the Team; Ensure outputs are accurate, complete consistent and produced on time - in line with the SLA
Be the first point of contact (POC) or first level of escalation for team issues. Handle process related issues: work to resolve issues in collaboration with Team Lead
Prepare/Update working files/templates base on the latest UBR/FSI structure
Month-end / Quarter end and year end reports submissions
Providing Ad-hoc Analysis / research around the WM financials
Client/relationship management skills (defend / explain / challenge numbers)
Identify process improvement opportunities and deliver working group targets
Manage deliverables against tight deadlines and has attention to details
Manage day to day operations and production scheduling
Deliver project assignments based on required timeline
Strong Analytical skills - ability to manage large quantities of information (from data and people inputs) properly validating information, ability to identify, follow-up and resolve them before producing final reports – all set within set timelines, escalating as needed
Strong MS Excel and MS Office Powerpoint skills – ability to manage and analyze large quantities of data; ability to build and follow Excel formulas, make changes as requested and ensure data integrity
Working knowledge on MIS AM/WM Applications - Janus Essbase, GGLRep+, Cognos Café (GMIS), SAP
Working knowledge on revenue bookings and financial reporting requirements
Able to manage deliverables against tight deadlines and has attention to detail
Interpersonal skills – good command of English language and ability to communicate findings, issues and resolutions
High Client and Stakeholder Management skill
Motivated individual who seeks a challenging career with substantial responsibility and exposure

Wealth Management Resume Examples & Samples

Produce Wealth Management/Investment Management reporting for key governance forums
Run daily Liquidity and Funding reports for the Wealth
Management/Investment Management business
Monitor, analyse and track operating environment indicators and other relevant capital, funding and liquidity metrics
Perform daily and weekly analysis of funding and liquidity metrics
Good understanding of the principles of risk management balanced with a commercial awareness to support the Business Units
Strong, analytical problem solving skills
Ability and willingness to work with virtual teams and colleagues across the regions contributing to common goals
Adept at working in a fast-paced, high energy level environment
Broad understanding of and interest in the financial markets
Proficiency in MS Office (Excel, PowerPoint)
University degree (BSc or BA) preferably in accounting, finance, or related disciplines

Wealth Management Resume Examples & Samples

Serves as contact for senior advisors' client service inquiries and account
Attend client and prospect meetings
Track business activity - maintains client relationship notes
Assists senior advisors with investment portfolio analysis as needed or directed
Facilitates best practices and assists in satisfying compliance requirements
Bachelor's degree with a concentration in finance or other related discipline
Excellent organizational skills with the ability to prioritize multiple tasks,
Series 65 license or willingness to obtain
Experience with financial planning software tools
1 or more years direct experience with back office/operational/ and client

Wealth Management Resume Examples & Samples

Articulate the value proposition to internal client service coordinators and co-develop target lists for internal sales campaigns
Lead and manage a sales process to expand RSM services to current clients through our retirement plan advisory services capabilities
Work in conjunction with RSM inside sales and wealth teams to identify non RSM client opportunities as part of external sales campaigns
Team with other RSM service lines to identify client needs and cross selling opportunities
Responsible for sales targets related to both internal and external campaigns
Team with other regional retirement plan advisory service advisors to maintain a cutting edge value proposition in the market place
Coordinate appropriate client service teams to deliver a consistent client experience
Deliver retirement plan advisory service model to clients including
Excellent presentation and communication skills (phone, written, verbal)
Understand and utilize consultative selling skills
Extensive face to face client experience
Strong research and lead generation skills
Strong attention to details, accuracy and problem solving skills
Excellent organizational skills with the ability to prioritize tasks, projects and assignments
Familiarity with RPAG tools and other industry related technology

Wealth Management Resume Examples & Samples

The Associate Advisor is part of a Wealth Management team, and needs to become familiar with all the various aspects of the local practice (i.e., operations, client service, investment management, case development and acquiring new business)
Serves as a contact for Client and Wealth Advisor inquiries and account service issues
Will be involved in client and prospect meetings
Assists in developing Financial Plans for clients utilizing our eMoney financial planning tool
Supports Western Region Wealth Management Team and assists Advisors with investment analysis as needed or directed
Will be asked to be a part of networking opportunities and COI lunches or meetings with the Wealth Advisor
The Associate Advisor will schedule prospect and client meetings, along with ongoing correspondence and communication
Services existing WM clients and their accounts
Strong attention to detail, accuracy and problem solving skills
Excellent organizational skills with the ability to prioritize multiple tasks, projects and assignments
Ability to work, efficiently, effectively, and independently in order to see projects through to conclusion
Demonstrated advanced Microsoft Office proficiency (Outlook, Word, Excel, PowerPoint)

Wealth Management Resume Examples & Samples

Provide support to the members of the team
Assist with client portfolio rebalancing
Client meeting preparation
Process paperwork
Business tracking
Assist with the development and implementation of various marketing efforts
Various other client maintenance activities
Scheduling client meetings
2 year degree (or equivalent experience) with financial services, brokerage, insurance, retirement plan, banking or bookkeeping industry experience preferred
Good team member—ability to work as part of a small team within a large office
Well-organized and able to multitask
Excellent computer skills (Excel, Client Resource Mgmt, or Financial Planning software)

Wealth Management Resume Examples & Samples

Business analyst with strong quant knowledge and project management skills to drive roll out in APAC from a financial model / risk expert perspective
Front to back Business Analyst role incl. data analysis, business requirements gathering, writing specifications, process mapping and managing User Acceptance Tests
Acts as a single point of contact for quant / risk related topics re APAC roll out of client portfolio management and risk engine
Specifies set up, tests and operates client portfolio management and risk engine
In-depth knowledge of financial assets and products incl. structured products and OTC derivatives across different asset classes
Experience in operational support and client service in the financial industry
Enjoying accurate and interdependent work; very good team player; excellent communicational and organizational skills

Wealth Management Resume Examples & Samples

Significant experience in core consulting dimensions such as process analysis, business process engineering and business requirements specifications
Understanding of the different advisory concepts and approaches in wealth management
Business Analysis, Business Project Management and Requirement Engineering
Front-to-back process and data integration
Significant experience in core consulting dimensions such as strategic planning, conceptual design, process analysis, business process engineering, organisational re-design and business requirements specifications
Experience with Multi-Channel Platform projects (Mobile- and/or Online Banking)
Portfolio Analytics, Quant based Risk/Return Analysis and Investment Proposal generation

Wealth Management Resume Examples & Samples

Serves as the primary point of contact for client relationships
Serves as the primary point of contact with third party manager platform, mutual fund, ETF, alternative and annuity providers
Creates, directs an over-sees clients' financial investment portfolios
Manages staff updates and progress reporting, rebalancing of asset allocation model and recommendations for portfolio rebalancing
Over-sees and manages staff with respect to daily deposits/withdrawals, cash balances, and rebalancing the portfolio
Presents reports for client review meetings
Uses various tools to research and provide investment portfolio, life & disability insurance analysis for prospects and clients
Consistently follows procedures to be complaint
Ability to effectively present investment strategies to clients
Business experience of 5 or more years in the Wealth Management or Financial Services industry
Series 65 licensing
Good communicative and analytical skills for working with prospects and clients
Experience with Schwab Institutional, eMoney Advisor, Black Diamond, and other financial planning software tools
CFP, CFA, JD, MBA

Wealth Management Resume Examples & Samples

Understanding of RSM investment philosophy and recommendations
Review client portfolios for rebalancing needs, as needed
Entering client trades
Communicating investment activity to clients
Reviewing/researching appropriate investment options
Administrative duties in addition to portfolio management
New Client Onboarding process/Account Paperwork
Address ongoing client servicing needs Contact with clients
Working knowledge of Financial Planning Process/Software

Wealth Management Resume Examples & Samples

Be the primary back-up to the Fixed Income Portfolio Management team
Assist in preparation and execution of trades
Compile blotters, risk analytics and daily monitoring reports
Manage cash positions and requirements
Monitor the creditworthiness and financial performance of companies in the portfolio
Assist with primary and secondary credit research on global issuers
Ensure investments meet client objectives and restrictions and avoid breaches by addressing them in a proactive manner
Support product specialists with information for marketing materials
Act as liaison person for relationship managers and operational staff for all DPM fixed income enquiries and internal procedures
Undergraduate degree in business, economics or finance-related field
3 years plus of relevant fixed income experience
Post graduate finance related qualification or CFA Charterholder / Level III candidate an advantage
Proficiency in Chinese (Mandarin) preferred to deal with chinese speaking clients

Wealth Management Resume Examples & Samples

Credit Cost tracking ; Monthly outlook and planning for credit costs - including variance drivers ; Analyze and explain changes in the credit portfolio that impact reported results
RWA tracking, monitoring and reporting on loans and mortgages
Being the subject matter expert on RWA and credit costs, addressing queries from the business on credit cost and capital impacts of various scenarios pre deal pricing
Coordinate with WCAS on credit risk forecasts
Strong analytical and financial skills, with ability to synthesize and interpret data
Sense of urgency; this person recognizes the importance of not only completing a task, but with the understanding that many of the tasks/requests are time sensitive
Minimum 5 years of experience, primarily in financial services
Bachelors degree required (business or economics-related major preferred, or equivalent work experience in accounting/finance and/or a financial services firm)

Wealth Management Resume Examples & Samples

Assisting with cost projection/analysis/reporting as required
Guides the BUs and team in performing periodic reporting analysis/tracking on various cost topics, such as: market data, consultancy, travel, etc
Helping Head of function to execute CAO/management initiatives including S2020 etc
Provides analysis for presentations for the CAO/COO/CEO and management teams
Assist Head of function with overseeing year-end budgeting process, tracking all units’ costs against plan, overseeing/ guiding the usage of cost centers for monitoring/tracking purposes
Responsible for Orbit tracking from CAO perspective
Assists in setting up a center of excellence for CAO global business mgt records, working hand in hand with Mumbai office and other regions
Helping to structure a sensible cost approval process
Assist with OEA reviews, plan transfers, accrual reviews with finance and other infrastructure teams
Maintain, cultivate an active/collaborative relationship with all global infrastructure teams
Assists Head of function with strategic cost/CIR reviews, as required
Helps maintain internal and external key business relationships, as required
From a governance perspective, helps ensures CAO office alignment to DB risk management framework as well as to current regulatory and compliance requirements
10-12 works experience consisting of around 5-7 years relevant experience across combination of change management, analytics and cost management
Proactive, organised, committed and independent, as role requires global coordination
Confidence in dealing with global stakeholders
Knowledge of WM business, MS applications and Avaloq an advantage
Basic degree in relevant discipline from a recognized university, and Postgraduate/Master degree holder, if available

Wealth Management Resume Examples & Samples

Responsibility of all aspects of the day to day administration of a portfolio of complex client cases
Manage and enhance relationships with clients and Relationship Managers in Singapore and abroad
Assist in motivation and development of staff
Liaison with clients, investment advisers, asset managers, bankers and other professional advisers regarding client affairs
To supervise junior staff members with work where necessary, training and development of junior staff -To delegate efficiently and appropriately to subordinates
May hold the position of “A” authorized signatory
Ensure individual and team adherence to Key Operating Procedures and the maintenance of administrative and regulatory standards
To have and maintain a detailed knowledge and understanding of international business matters
To have and maintain an excellent working knowledge of international tax matters
Good English, oral and written communication skills. Extra languages are an advantage
Sound knowledge of investment products, principles and practices
Hold Foundation Level of Relevant Technical Qualification (STEP, ICSA, CIB) and be studying next stages

Wealth Management Resume Examples & Samples

University degree holder and / or with 15+ years of professional experience in a similar capacity
Fluency in English required with Mandarin and / or Cantonese a definite plus
Strong presentation skills, an excellent communicator with client facing experience a definite advantage
Able to work under minimal supervision; adaptable to work in demanding environment
Strong knowledge of relevant financial markets and instruments

Wealth Management Resume Examples & Samples

A solid understanding of the project management process coupled with a detailed understanding of business analysis and testing techniques, communication approaches and methodologies for managing the implementation of change initiatives
Coordinating and leading a project workstream to meet key deliverables throughout the project lifecycle
Critical thinking to proactively identify and develop new ideas / innovations / approaches that will add value to the business and enhance risk control
Translate business requirements into test plans; conduct and facilitate testing in cooperation with development teams and business. Ensure issues are captured and develop plans to remediate them
Facilitate implementation of new functionality through training sessions, demos, and the development of training manuals to ensure projects move seamlessly into the BAU environment
Manage stakeholders’ expectations and project scope through concise and articulate presentations, status reporting and communications while continually providing feedback on project status, offering options to ensure project tracks to expected delivery timeframe
Participating in and potentially leading progress status meetings at the operational and project level
Assist Project Manager with ongoing management of the implementation project, maintenance of the implementation plan
3-5 years of Business Analysis experience in trusts and estates, wealth management, private banking and asset management (institutional and private client) preferred
A successful experience in Data migration strategy: Analyze, Design, Deploy
Experience and / or understanding of business process modeling, business systems development life cycle
Experience in documenting business requirements and functional/design specifications, process flows and re-engineering business process / procedures
Experience in creating test strategies, executing test plans, and documenting results
Strong leadership, interpersonal, relationship management, analytical and problem solving skills
Comfortable in both a team and individual work setting
Excellent communication and presentation skills as well as strong Microsoft Office skills with proficiency in Excel, Word, Visio, and PowerPoint are required

Wealth Management Resume Examples & Samples

Bachelor’s or Master’s Degree or relevant commercial experience
Exposure to financial services industry and interest in Wealth Management
Business-level fluency in English is essential
The ability to multi-task, prioritise and work with tight deadlines
Strong interpersonal skills with the ability to work both independently and in a team environment
Strong proficiency with MS Office package (specifically MS Excel and MS Word)

Wealth Management Resume Examples & Samples

Serve as the primary contact for Senior Advisor inquiries and account service issues
Continually monitor clients' financial investment portfolios to provide updates and progress reporting, re-balancing of asset allocation model and implementing recommendations for portfolio rebalancing
Cash Management - monitor deposits/withdrawals and cash balances daily, rebalancing the portfolio as necessary to accommodate the changes in cash position
Processes trades and cost basis adjustments
Prepares and facilitates Senior Advisor for client review or new prospect meetings
Develop Comprehensive Financial Plan for clients to identify problem areas and make recommendations, select appropriate investment and insurance products compatible with the client's goals, risk tolerance, time horizon and expected return
Use various tools (e.g. Schwab, Dimeo Schneider, Morningstar Workstation, Fi360) to research and provide investment portfolio analysis for prospects and clients
Production goals - assists in achieving revenue and new client goals by networking within and outside of the company for referrals and developing a book of business for investment management
Consistently follow procedures to be complaint
Servicing five offices in the region will require scheduled travel between offices

Wealth Management Resume Examples & Samples

Responsible for sale and implementation of investment, banking and trust/estate products to core clients in the European Market
Leverage and coordinate specialists (Investor, Capital Advisor, Trust and Estate Advisor and Wealth Advisor) to provide interdisciplinary expertise for our most complex clients
Manage each account to ensure that the client has a completed profile, is introduced to the appropriate product specialists and that accounts are properly maintained and serviced
Build trust with clients and effectively manage relationships

Wealth Management Resume Examples & Samples

Responsible for engaging in new business development each year (to include prospecting, development of external and internal referral sources, use of personal and professional contacts) to deliver J.P. Morgan Private Bank services to high net worth or ultra high net worth prospects and clients
Exceed the expectations of J.P. Morgan Private Bank clients by displaying creativity in formulating integrated solutions through the use of a wide range of products and services (including investments, trust, banking, wealth transfer, etc.)
Measurable track record of successfully selling to high net worth and/or ultra high net worth clients
Analytical ability in order to relate specific client asset situations to individual products
Continuous prospecting skills applied to COIs (centers of influence), associations, and community activities
Experience profiling and formulating strategies for potential clients
Demonstrated ability to close deals
Impeccable interpersonal and organizational skills
Seven plus years experience in private banking/wealth management developing business with high net worth and/or ultra high net worth individuals and families
Bachelors degree required, MBA, JD, CFP, CFTA, CIMA or CFA strongly preferred
Thorough knowledge of specific geographic market
Established network of COIs (centers of influence) and sources for referrals

Wealth Management Resume Examples & Samples

Follows RSM Wealth Management LLC policies/procedures
Meets time requirements (Ex: arrives at the expected time, keeps core hours)
Respectful of staff, clients, and partners
Functions in a team environment in department and overall firm
Enthusiastically promote the Wealth Management team within RSM office environment
Bachelor’s Degree or AA in any General Business Field of Study and/or 2 + years of experience in administration
Series 65 or Series 66 (required, may obtain in first 120 days)
Have a satisfactory background check and securities registration and/or insurance licensing verification, if applicable
Proficient interpersonal communication, writing and group presentation skills
Able to make critical decisions independently
Expert knowledge of Microsoft Suite, CRM, performance, portfolio and reporting systems
Operate office machines such as a fax, scanner, copier, etc
Ability to comprehend an existing problem, or stated task, anticipates future implications thereof and formulates and completes a plan of action accordingly
Demonstrated self-starting tendencies
Exceptional client communication skills
Strong attention orientation

Wealth Management Resume Examples & Samples

Market Partnership –effectively collaborate with respective client facing teams and internal business groups to deliver and execute client transactions
Business Development – proactively review and identify potential business opportunities for clients to engage in additional products and services
College degree or equivalent relationship or client service experience preferred
Ability to handle complex and challenging situations from origination to completion
Proven ability to operate effectively in a matrix organization with the ability to work under pressure with tight deadlines

Wealth Management Resume Examples & Samples

Degree holder or above
7+ years experience with bank loan, mortgage, loan, credit and derivative products
Experience and proven success with banking concepts including, but not limited to: investment real estate loans, concentrated collateral loans, aircraft lending, commercial real estate and bridge loans
Sales experience including: profiling, overcoming objections, negotiation, team selling approach, closing the sale and asking for referrals
Familiarity and expertise with credit documentation
Expertise in credit and derivatives transactions
Experience in structuring complex transactions
Completion of formal credit training program
Written and spoken fluency in English, Cantonese and Mandarin; knowledge and experience in doing credit business in Hong Kong

Wealth Management Resume Examples & Samples

Provide strong sales leadership required to grow our loan book, including
Experience and proven success with banking concepts including, but not limited to: marketable secured lending, investment real estate loans, concentrated collateral loans, aircraft lending, owner-occupied commercial real estate and bridge loans
Knowledge of capital markets and the macro interest rate environment
Ability to understand wealth management including, but not limited to: investing, trust and financial planning
Minimum 7 years credit risk experience ideally in the financial services industry
In-depth knowledge of bank loan, deposit, mortgage and credit products
Ability to understand the overall credit capabilities and risk management philosophy of the firm
Languages: English/ Spanish

Wealth Management Resume Examples & Samples

Assist product/project owners with the delivery of key tactical and strategic initiatives across the Client Service business
Build detailed knowledge of front/middle/back-office process flows and trading systems
Coordinate initiatives across regions to bring global consistency in product, processes, systems and best practices
Act as business representative for Client Service teams coordinating across the wider support functions within Private Bank (Technology, Operations, Legal, Risk etc.) to implement business solutions
Write and provide sign-off on Business Requirement documents ensuring that any proposed solution has been syndicated with the relevant parties prior to implementation
Follow-up on outstanding action points raised during project meetings and ensure the coordination of projects throughout their life-cycle including gathering requirements, working on the implementation schedule and organizing testing pre-release
Assist in the administration of various project streams (minute taking, SharePoint site updates, setting meeting agendas etc…)
Partner with Legal, Compliance & Risk to identify and address areas of risk & regulatory exposure across multiple workflows
Develop and support project plans through strategy development, project definition, and implementation
5-7+ years in project management, operations or related banking experience with product and change management focus
Excellent interpersonal skills - must have the ability to build strong working relationships with the management team and team members within the business
Fluent in English; preference for multiple languages though not essential
Proven project management experience with documenting and writing business requirements and project plans with working knowledge of Agile methodology(not essential)
Strong working knowledge of Microsoft Office (Excel, PowerPoint, Visio, Word)
Experience in process flow analysis/mapping
Delivery and ownership focused
Ability to analyze business models/practices and identify innovative solutions
Interface with all levels in the organization from senior management to process participants
Effectively communicate key messages, and simplify complex business situations
Able to influence senior management to adopt change to current practice/process
Navigate a global organization and be able to prioritize competing objectives

Wealth Management Resume Examples & Samples

Practical understanding of hedge fund and private equity mechanics
Mandatory minimum 6 years fund accounting experience for Private Equity and/or Hedge Funds
Partnership accounting (capital or unitized) experience required
Working knowledge of US GAAP (IFRS a plus)
Clear communicator with exceptional verbal and written skills; an ability to confidently present complex ideas and key messages effectively and in simple terms to others
Proactive worker who can work independently and resourcefully
Must be comfortable multi-tasking in a fast paced environment

Wealth Management Resume Examples & Samples

Prior experience in AML / KYC a plus
Client Onboarding and/or documentation analysis experience a plus
Ability to review, validate and authorize documentation with strong attention to detail
Track and communicate and respond to inquiries related to documentation status/issues
Strong organizational and multi-tasking skills
Working knowledge of quality control techniques/procedures
Some understanding around the governing documentation of a legal entity (legal entity structures, operating LLC's, bi-laws etc.) preferred
Required Spanish or Portuguese oral and written proficiency

Wealth Management Resume Examples & Samples

At least two years of financial services or brokerage experience strongly preferred
FINRA Series 7 and 66 (or equivalent) required, in addition to meeting FINRA continuing education requirements
Familiarity with investment acumen, including investment products, Individual Retirement Accounts, (IRAs), and employee benefit programs preferred
Extremely organized and detail oriented, demonstrating working knowledge of Windows, Microsoft Office software (Word, Excel, PowerPoint, Outlook, etc.)
Ability to be flexible between the hours of 8:00 am – 8:00 pm EST, Monday through Friday, and occasionally Saturdays, 8am-5pm

Wealth Management Resume Examples & Samples

Partner with the client facing teams to gather, manipulate and input required AML/KYC information and legal documentation to meet all regulatory and internal polices
Complete required KYC submissions to meet production capacity while maintaining low error rates
Pre-fill account opening documentation based upon input from Bankers or directly from the client
Ensure KYC information is accurate and will meet Quality Standards of clients’ KYC records prior to submission
May participate in annual AML discussions directly with clients
Discuss and escalate with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues
Perform other duties and/or special projects as required
Promote a positive, inclusive and diverse work environment
5+ years of experience with in a financial services, operational or compliance fields
Experience in AML / KYC and/or Account Opening highly preferred
Client Onboarding, Underwriting and/or documentation analysis experience preferred
Excellent written and oral communication skills are a must
Strong understanding of governing documentation of a legal entity (legal entity structures, operating LLC’s, bi-laws etc.)
Strong client focus and ability to partner with various internal groups
Strong analytical, prioritization and organizational skills with a high degree of attention to detail
Capacity to think laterally and convey an understanding of the big picture
Demonstrated experience as a key contributing member of a high performing organization with a positive “can do” attitude
Ability to work under pressure and to fixed deadlines in order to meet production goals

Wealth Management Resume Examples & Samples

Act as subject matter expert (SME) in all projects relating to the product including those driven by business and regulatory changes
Lead initiatives identified to enhance product management activities
Responsible for the periodic share class review to ensure the business invest in accordance with the internal policies
Conduct analysis of changes required to the existing business and operating model as a result of new business initiatives or changes to the existing business strategy
Manage relationship between internal business teams and external Fund providers as a point for resolution and escalation
Responsible for understanding and resolving questions on (including but not limited to) contractual arrangements, share class eligibility, prospectus terms, regulatory requirements etc.)
Responsible for responding to queries related to fund attributes such as registration, tax transparency, fund structure and providing guidance to the Business
Prepare and present reporting for Management and Committees
Ensure results are delivered on-schedule while closely adhering to internal policies
Understands mutual funds, ETFs, hedge funds UCITS
Has a relentless focus on execution and enjoy taking ownership for the delivery of measurable results
Is able to gain in-depth understanding of any issue and propose and implement workable and practical solutions
Thrives in team environments, ensuring effective communication with colleagues
Additional European languages a benefit – Italian, French, German or Spanish

Wealth Management Resume Examples & Samples

Maintain client confidentiality at all times
Manage daily client transactions and inquiries accurately, within established deadlines, and in accordance with existing policies and procedures. A CSS transaction approval levels/limits will vary based on seniority
Research, follow-up and resolve client inquiries and problems through effective interaction with clients, bankers, investors, product specialists, operations areas, and other staff in a timely and professional manner
Open and close accounts, and ensure necessary documentation is complete
Verify and maintain data quality as it relates to internal and external client hierarchy and account alignment
Strong communication and time management skills
Ability to adapt to a rapidly changing business and technology environment, and to utilize all available tools and resources to service clients as efficiently as possible
Solid comprehension of deposit, banking, brokerage, custody, investment management, mutual funds and credit products as each applies to their specific region's business segment
Fluency in English and Italian

Wealth Management Resume Examples & Samples

Ownership of management reporting processes, analysis and support
Drive weekly / monthly financial Forecasts and Annual Budgeting models
Coordinate with business partners to refine and further enhance reporting environment for non-financial metrics, key performance indicators and report delivery
Tracking of monthly financial close process and key liaison with Controllers
Management and delivery of special projects
Minimum 4 years of relevant experience

Wealth Management Resume Examples & Samples

Manage daily inquiries accurately, within established deadlines, and in accordance with existing policies and procedures
Working within a team to execute daily transactions including loan withdrawals, deposits, payment execution and liquidity fund trades
Data entry and process initiation for changes of client demographics
Liaise and follow-up with internal teams for documentation issues
Signature Verification of Instructions received from clients
Take ownership of work, problems, clarify issues / objections, and ensure data integrity, accuracy and completeness
Participate in special projects and UAT testing for IT enhancements as assigned by Team Manager
Solid comprehension of deposit, banking, brokerage, custody, investment management, mutual funds, and credit products and services as each applies to their specific region's business segment
Must understand and comply with the regulations, policies and procedures applicable to these products and services, and grasp the potential financial liabilities associated if they are not executed properly
Team player with the ability to work well with multiple stakeholders and other team members
Languages an advantage

Wealth Management Resume Examples & Samples

Work with the Investment Business Management team and Head of investments to execute business strategy in different areas such as sales, controls, product strategy and development
Connect with global teams on investment priorities and different initiatives implementations
Partner with Asset Class Leaders and products teams to launch new investment products and solutions
Implement process changes for investor to streamline and tighten controls to reduce business risk
Coordinate agenda and logistics for daily morning meetings for Private Bank client advisors
Gather data and perform analysis for different business functions and locations to identify areas for growth business improvement
Establish strong working relationships with all business partners throughout the Private Bank organization - across functions and geographies
Create presentations for Executive Management to be used in regular meetings, leadership events, off-sites meetings, etc
Organize, set agenda and prepare materials for senior management meetings
Assist with budget and financial planning including staff and headcount planning

Wealth Management Resume Examples & Samples

Provide first level control and oversight of the investment business
Independent review and assessment of client suitability profile based on data collected from client and client facing staff
Review and assess client trading activity and any potential suitability issues Review and assess investment concentration issues in client accounts
Review Investor trade blotter for signs of unusual or unexpected investment activity
Respond to ad hoc requests and client issues
Audit coordination and liaison as required

Wealth Management Resume Examples & Samples

Manage the existing team and its future growth
Work with the Market Manager to ensure an effective approach to hiring and retaining the best talent, performance management, talent management, training and integration of new joiners within the team
Overall responsibility for leading and developing a team of Investors and support staff. This includes day to day leadership, coaching and mentoring and responsibility for performance management
Manage day to day operations to ensure systematic, forward thinking and disciplined approach to management, client asset acquisition, and servicing clients
Responsible for ensuring the team utilises a consistent and effective approach to implementation of investment and banking products
Together with the Market Manager, responsible for the observance and compliance with applicable policies and regulations by the Investor Team
Provide ongoing coaching and feedback to ensure investors are leveraging and coordinating specialists to provide interdisciplinary expertise for our most complex clients
Maintain and further develop an existing book of business consisting of ultra high net worth clients focused on the Market
In addition to day to day management of these markets, this role should also grow the team’s book of business and will be responsible for developing leads for new clients
Build trust and develop relationships with select clients

Wealth Management Resume Examples & Samples

Drives results through leadership, people, communication and influence
Comfortable with change, ambiguity, debate, conflict and informed risk taking
Multi-tasker who can manage multiple streams of work concurrently with competing deadline
Build relationships and work closely with key business stakeholders, Regional Market Managers, Legal, Compliance, Business Management, Product & Platform and Technology on fulfilling responsibilities of the Client Onboarding & Account Opening Teams
Ownership and proactive management of policies and procedures; Develop new or amend existing policies, guidelines, and desktop procedures with the Client Onboarding and Quality Control teams and drive global consistency as they are implemented to meet new and enhanced standards
Identify gaps in policies and processes and liaise as necessary with other business units and stakeholders to escalate issues for resolution
Ownership and proactive management of the various risks facing Client Onboarding & Account Opening
Establish quality metrics and results to identify recurring control issues and track trends. Proactively assess areas for process improvement and make/propose changes as needed
Promotes a positive, inclusive and diverse work environment
7+ years of experience within financial services, operations, and audit/compliance field preferred
Strong written and oral communication skills are a must
Ability to work late and/or weekends to meet production SLA’s as required
In-depth knowledge of risk management techniques from both a detection and mitigation perspective
Flexible and able to work in a fast-paced environment to effectively meet deadlines; ability to recognize the need to escalate issues for rapid resolution

Wealth Management Resume Examples & Samples

Relevant experience in Client Onboarding, including Documentation requirements for different PB accounts
Strong understanding of KYC, AML , Regulatory requirements (i.e. HKMA and MAS)
Strong knowledge of Private Banking industry
Strong interpersonal, analytical, problem solving, negotiating, influencing, facilitation, organizational,
Prioritization, decision-making and conflict resolution skills
Excellent communication skills, fluent in English and local language (written / verbal) as appropriate
Open minded, able to share information, knowledge and expertise with peers and team members

Wealth Management Resume Examples & Samples

Credit Line set up in accordance with Credit Policy in the corporate and Private Banking infrastructure
Interpretation of Credit Policy and advise to Capital Advisory of same
Credit Portfolio Management Support (Annual reviews, Exception monitoring, Data maintenance)
Credit Risk reporting and Regulatory reporting
Provide support in investigations into ad hoc matters as required by the Credit Executive or Capital Advisory

Wealth Management Resume Examples & Samples

Participate in short-middle term project deliverable. Design, develop and establish key reporting standards. Consistently follow up on requests, tasks, and assignments
Own, deliver and execute tasks in a timely manner, manage and meet deadlines. Effectively prioritize workload and keep others informed of progress
Update correctly and consistently the project reporting and documentation (such as minutes, decisions, etc.). Demonstrate attention to detail and consistently produce quality work. Ensure delivery of relevant team procedures
Understand how other functions work and build relationships (e.g. Operations, Technology, Control functions) in order to effectively deliver
Understand the project subject matter and context, including regulatory environment. Apply knowledge in assessing issues and solutions and educates others
Take initiative in proposing solution and “thinking outside of the box”, considers impact across business. Collect information proactively and re-evaluate solutions
Contribute in meaningful and appropriate ways to meetings or calls. Clear, concise and confident written and oral communications ("straight to the point" mind-set). Make results of own analysis understandable, enabling others to accept and buy-in to conclusions
Build network within WMIS including and outside of Strategic Program Group, across geographies. Get involved in Strategic Program Group initiatives and analyst opportunities. Listen to and incorporate constructive feedback, begin to provide feedback to the team. Proactively manage relationship with manager, understand expectations of deliverables and is cognizant of manager's and other's perception of performance
Demonstrate a commitment to acquiring new knowledge and skills; seek to continuously improve standards of work, address opportunities for development. Demonstrate team spirit
Build understanding of Risk and Compliance policies, undertake relevant training. Identify and escalate risks and issues when identified, works with team to remediate. Understand regulatory environment and regulations related to project
Exposure to financial services industry and / or interest in Wealth Management
Solid organizational skills required and project management skills a plus
Experience and / or understanding of business process modelling, business systems development life-cycle
Experience in documenting business requirements and functional / design specifications, process flows and re-engineering of business process / procedures
Experience in managing people with an aptitude for mentoring and developing teams
Strong proficiency with MS Excel, Word, PowerPoint. Project, Access & Visio is a plus

Wealth Management Resume Examples & Samples

Proven track record of team supervision
Experience in dealing with client credit documents
University graduate (Law or Finance degree) and/or relevant commercial experience
Sound knowledge of credit and lending products in European countries (e.g. Italy or United Kingdom)
Understanding of credit related legal risks
Fluent in Italian and English (Other languages would be an asset)
Experience within a financial institution
Previous experience in a credit documentation team an advantage
Strong organizational skills and strong attention to detail
Ability to work independently, self-motivated with ability to prioritize work and meet tight deadlines
General market knowledge

Wealth Management Resume Examples & Samples

Monitoring of Derivative Structures entered into by PB clients
Provide oversight to team members
Deputise for the Team Lead on projects and provide cover when required

Wealth Management Resume Examples & Samples

Be responsible for the planning, management and execution of projects through a project plan and engagement of stakeholders,
Determine the milestones and underlying requirements to execute the project plan in conjunction with stakeholders across the various functional groups (Legal, Technology, Middle Office, Business Management),
Manage and prioritize initiatives that are requested by stakeholders,
Plan and perform testing of new functionality and regression testing,
Provide updates on the project status to senior management and stakeholders

Wealth Management Resume Examples & Samples

Produce standard and non-standard credit documentation and support with associated processes
Liaise with Capital Advisors, Credit Executives and internal & external legal teams on documentation requirements and validation
Documents include, among others, Credit Facility Agreements and pledge agreements, working with standard document templates
Participate and support team leader with key projects, often within tight deadlines
Maintain accurate data on documents from clients in Documentation Tracking System
Maintain a control mind-set, able to challenge the status quo and identify process efficiencies
University graduate (preferably Law or Finance) with some basic experience in dealing with client credit documents
Fluent in English (additional language skills e.g. Spanish & French a plus)
Familiarity with credit and lending products (some legal knowledge is a plus)

Wealth Management Resume Examples & Samples

Facilitation of all administrative client queries
Client on-boarding, including preparation of account documentation, creation of client record in MSWM systems
Arrange and assist with maintenance of client account and records, in line with current AML/CTF, KYC Regulations
IPO and corporate action allocation management
Preparation of client valuations, asset allocations and reporting as required
Assist in client asset transfers, including cash, both domestically and internationally
Process and monitor stock settlements, including follow up with clients regarding outstanding funds
Prioritize competing adviser requests in a fast paced environment
Establish and maintain relationships with other internal stakeholders and departments
Participate in process development initiatives in increase efficiencies
Proactively notify client/s and FA/s of any issues recommending a solution and timeframe
Strong literacy and numeracy ability
Good knowledge of Microsoft Office Suite
A fundamental knowledge of financial advice process, markets and industry
Display a high level of resilience and strong ability to prioritize tasks
LI-JL1
Finance, Business or Economics degree preferable but not essential
RG146 licensing – willingness to study toward and attain qualification
Recognized industry studies preferred but not essential
Experience within a similar role preferred
Experience within wealth management or financial planning highly desirable

Wealth Management Resume Examples & Samples

Review, analyze client KYC information and ascertain whether on-boarding or periodic review of the client will post additional AML and reputation risk
Analyze challenging account opening situations and ascertain whether there will be potential issues
Validate source of wealth corroboration according to firm guidelines
Coordinate with compliance and control function where it relates to regulatory audits / requests / initiatives
Represent the team and participate in KYC/AML related discussions, committees and forums
Manage deliverables and face off to stakeholders
Periodic training & awareness sessions to new hires and various refreshers to staff
At least 2 years of experience in private banking risk management or compliance, with focus on KYC/AML
Background in internal audit or regulatory audit with focus on KYC/AML will be considered
Broad knowledge of rules and regulations for various Asia jurisdictions, with focus on KYC/AML
Ability to identify and focus on issues at a holistic level and yet be detailed oriented and independence in thinking when analyzing
Ability to handle escalations and drive to resolutions

Wealth Management Resume Examples & Samples

Management of the team, including individual and group performance monitoring
Serve as the escalation point for review of complex structure account openings and technical events on existing accounts
Act as key contact person between tax operations, Administration and front office teams for annual tax documentation solicitations (e.g. W-8 renewal, UKRND certification) and with Legal, Compliance, Risk Management, Corporate Tax and Tax Operations when applicable
Keep current on tax rules and regulations (legislation, tax issues, etc.) through independent study, partnership with the US and EMEA Corporate Tax Teams, the EMEA Private Banking Tax Operations Team and contact with the Swiss Tax Authorities if required, with specific focus on the FATCA and QI rules
Attend internal or external meetings representing the interests of the team or the Bank as it pertains to account tax set up and documentation requirements
Responding to ad hoc queries on specific client structures and associated tax status / requirements
Bachelor's degree or higher in Accounting, Finance, Tax or Law preferred
5+ years of experience within a tax or financial services field
Knowledge of tax law and compliance across multiple jurisdictions, including the United States, Switzerland and the United Kingdom
Previous experience in managing a high-performing team
Ability to analyze a process and recommend ways to improve the quality, control, and efficiency
Ability to plan and prioritize
Must be flexible enough to be able to handle cyclical peaks in the workload and adapt to the changing business and technological environment
Languages: English fluent. Italian, German, Spanish and French would be an asset

Wealth Management Resume Examples & Samples

Bachelor's degree or higher in Accounting, Finance or Law preferred
Experience in implementing AML and KYC rules preferred
Fluency in German and English (other European languages would also be an advantage)

Wealth Management Resume Examples & Samples

J.P.Morgan Gestión SGIIC SA - Management of Spanish Investment Collective Schemes
Daily reconciliation of managed ICS NAV
Trade processing,monitoring and booking
ICS shareholders controls and monitoring
Regulatory and Tax control and reporting (EMIR, AIFMD…)
JPMIB sucursal en España -Distribution of International Mutual funds
Trade processing, monitoring reconciliation and booking
Distributed Mutual Funds controls
Static Data maintenance
Tax and regularoty reporting
Nostro reconciliation

Wealth Management Resume Examples & Samples

Highly motivated professional with a deep passion and interest in the financial markets and a strong desire to have a long term career in private banking and be responsible for high net worth or ultra high net worth portfolio management
Assertive with strong interpersonal, communication and analytical skills
Strong quantitative and technical skills

Wealth Management Resume Examples & Samples

Run a complex production schedule and coordinate multiple projects to ensure production stays on schedule and regulatory deadlines are met
Brief necessary stakeholders/internal/external vendors
Participate in weekly project calls with stakeholders to report on all developments
Oversight of quality control procedures of all communications and data and sign off on final mailing components
Obtain and archive all appropriate sign-offs from the business, legal and compliance teams
Collaborate with colleagues across all EMEA markets on translations
Become an integral part of business, understand group priorities
Assisting in ad hoc project administration support when required as well as general administrative duties
Project/change/communications management experience in financial services (private/premier/retail banking, cards, insurance or asset management) is essential
Process orientated with excellent project management and time management skills
Strong execution and organizational skills; attention to detail is key
Superior communications skills – both written and oral: adept at conveying complex, detailed information in a clear and precise manner
Understanding of industry regulations, governance or investments
Highly self-motivated individual with ability to work collaboratively with multiple stakeholders under pressure
Ability to manage multiple projects; adhere to deadlines, deliver results and can work independently
Flexibility is paramount as projects can be subject to change in this fast paced environment
Fluency in French, German, Italian or Spanish would be an advantage

Wealth Management Resume Examples & Samples

Project lead on various end to end projects and New Business Initiatives (NBIA) impacting the Global Wealth Management Legal Entity Control
Gain insight into the current tools/operating models via knowledge share sessions
Provide continuous feedback on project status to management and impacted stakeholders; update project tracker
Bachelor’s Degree in Accounting / Finance
3 to 5 years experience in accounting department (internal or external)
3 to 5 years project management experience
Able to multitask in constantly changing environment and attention to detail
Must be highly disciplined, a self-starter, and have the ability to execute on assignments independently
Great communication skills
Ability to learn JPMC Corporate / Private Banking financial systems
Experience in banking / financial institution a plus
Ability to work independently and take ownership of processes and functions

Wealth Management Resume Examples & Samples

Implement MSSB?s liquidity stress test enhancements and assist with modelling of stress contingencies. Requires a good understanding of liquidity risk and the Firm methodology, development of technical business requirements and policies, model creation and weekly reporting review and sign-off
Support analysis and reporting of liquidity and funding metrics for senior management
Proficient at creating and managing complex financial models
7-10 years of experience in Finance or Wealth/Investment Management; Corporate Treasury experience a plus

Wealth Management 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 part of the Operations management team, candidate will be expected to provide coverage and assistance outside of their direct responsibilities
People management experience (able to lead teams of more than 10 people) as well as teamwork skills
Wealth Management Operations experience or experience in leading Trade Support functions
Ability to make decisions with corporate perspective
Analytical approach, imaginative flair
Control focus
Strong commitment and exceptional drive
Knowledge of the various financial regulatory requirements a plus

Wealth Management Resume Examples & Samples

Day to day management of staff at a team level and interaction with internal and external counterparts in various locations
First point of escalation for the team in Edinburgh
Contribute to the recruitment effort of the Operations team for the overall team to meet their recruitment targets
Supervision of the team with accountability for quality assurance
Ownership of Performance Management at the team level
Knowledge of Trade Support functions and controls

Wealth Management Resume Examples & Samples

Driving the analysis and solution development around best interest, product offerings, compensation, fees, and multiple investment platforms across LOBs
Leading the execution of deliverables related to best interest, product offerings, compensation, fees, and multiple investment platforms across LOBs – these may include operating models, procedures, business requirement documents, and new business initiative approval documentation
Acting as subject matter expert & educator of the regulation and impact to the business as a result of the regulation in detail
Flexibility to expand and/or change areas of focus or deliverables as needed
Support of senior management, Program Lead and Business Sponsor, in meetings and deliverables as needed
Liaising with senior management in GIM, CWM, CCB, US PB, JPMS, as well as key critical senior stakeholder across the firm
Producing quality materials for senior management at various levels, across the firm, including the firm wide operating committee
8-10 years of program and project management experience with a structured & methodical approach
Excellent problem solving skills and ability to break down problems, identify the root cause, and overcome the obstacle swiftly and with ease
GWM and CWM expertise in brokerage, discretionary, and the broader investments product offering, including annuities
Polished, organized, and sales/advisor friendly communication style
Excellent relationship building and maintenance skills
Excellent written presentation skills for senior management, front office, and client presentations and communications
Acts with extreme sense of urgency and can turn around quality results or deliverables very quickly with limited direction
Excellent communication skills with ability to interact with junior employees and senior management across multiple lines of businesses
Excels in a fast pace, fluid, and ambiguous environment with flexibility and stamina
Ability to become a subject matter expert quickly and provide guidance and education to others at all levels
Forward thinking, detailed, and results oriented
Strong multi-tasking skills and ability to manage multiple tasks forward concurrently with flexibility; ability to manage both long term strategy and short term deliverables concurrently
Continuous transparency, collaboration, and partnership across all LOBs and workstreams
Strong ability to anticipate needs of management or project and prepare or move forward without direction
Motivation and ability to embrace the culture and navigate the organization with ease and determination
Proficiency in Pitch-Pro, Visio, PowerPoint, and Excel

Wealth Management Resume Examples & Samples

Act as the primary external client contact for day-to-day account administration and servicing
Provide proactive personalized service, including transaction processing/execution of cash products, assist clients on cash flow management, inquiries, investigation handling, and account monitoring
Open new accounts as instructed by clients and ensure that all necessary documentation are requested, received and approved for operations
Assist the bankers in arranging credit facilities for their clients
Assist the bankers in preparing statements for client meetings and marketing trips
Assist the bankers with post-meeting follow-up, including execution of client instructions, account opening and other administrative tasks
University graduate with 5- 10 years of relevant working experience in a Client Servicing role with Private Banking
Good oral and written communication skills, capable of dealing with clients independently and able to understand client inquiries and problems
Good interpersonal skills to service and maintain client and banker relationships; Possess judgment and discretion in working with highly confidential information
Knowledge of all relevant systems and software packages including e-mail, Outlook, Excel, and other information sources
Understanding of all control standards, particularly those related to money transfers, securities settlement, hold mail, credit and other transactional services
Good working knowledge of all private banking products and the relevant operational aspects of private banking cash products such as money transfers, loans, time deposits, funds, understanding of the documentation and securities settlement requirements
Adaptable and able to work in a demanding and unpredictable environment
Team player with the ability to work well with multiple bankers and other team members

Wealth Management Resume Examples & Samples

Define project scope, targets and deliverables that support business goals in collaboration with senior management and stakeholders
Ability to process, organize, and analyze complex data and information, resulting in the synthesis of a root cause analysis or an optimal solution approach, depending on the situation
Ability to produce documentation at all levels, client service and technical writing skills, coupled with a strong interest in further developing and integrating systems knowledge with technology skills
Define user acceptance test plans and test case. Execute user acceptance testing of new platform or upgrades to existing platforms. Responsible for understanding results and providing sufficient information to senior management to enable signoff on a deliverable
Self-starter, and results oriented, problem solver; ability to work well as a team member, as well as independently with minimum supervision
Knowledge and practical understanding of credit and credit operations preferred
Knowledge and practical understanding of financial markets, asset types, FINRA, NYSE
Working knowledge in Microsoft Visio, PowerPoint, Excel, Access, SharePoint
Experience in creating business process flows, developing business processes and procedures
Bachelor or Master degree in Management Information Systems (MIS), Computer Science, Operational Research, or Business Administration (or concentration in any of those) preferred
Series 99, or will obtain within 3 months on the job

Wealth Management Resume Examples & Samples

Lead the structuring and product development efforts for new 40 Act Mutual Funds through the entire product lifecycle
Develop creative approaches to structuring pooled vehicles and other new products
Manage the product pipeline and prioritization efforts
Lead and manage complex product launches requiring participation of cross-functional groups, including business case development, new product approval process/ discussions with senior management
Manage a team of product development professionals
Monitor and be aware of industry trends impacting the product palette
Analyze current investment offerings across Wealth Management and partner with other key stakeholders to develop and define the business strategy
Ability to develop effective partnerships with Investment Professionals and other key stakeholders including Legal, Compliance, Tax, Risk and various operations groups globally
10 – 15 years related experience in financial services and investment product development, applied across various pooled investment vehicles
Experience structuring and developing new 40 Act Mutual Funds
Knowledge of securities laws applicable to registered investment companies, including the Investment Company Act of 1940, and experience with SEC filings for registered investment companies
Knowledge of sub-advisory agreements and distribution agreements
Excellent project management skills with a demonstrated ability to identify and implement creative product and business solutions
Excellent presentation and communication skills, both oral and written
Self-motivated and highly collaborative – history of delivering results with and through organizational partnership in a dynamic and fast paced environment
Industry involvement staying abreast of industry trends and issues
Demonstrated success in building and managing successful teams
Ability to understand strategic vision of business leaders and to align actions and execute accordingly

Wealth Management Resume Examples & Samples

Assist to research, design, develop, and improve automation used in portfolio analysis including but not limited to performance reporting, attribution, portfolio risk measures, and benchmark-relative statistics
Work with members of the Endowments & Foundations Group to build both ad-hoc and systematic tools and data which help in optimizing investment behaviour and results
Participate in team meetings and collaboration to assist with data driven group initiatives, for example preparing slides for monthly investment review meetings
10 + yrs. experienced International markets Investor with well-rounded background across markets
Prefer some background in manager due diligence and FX function as an FX strategist
Must have analytical skills/background and non consensus mind set
Strong ability to interface with prospects and existing clients
Accuracy, precision, and attention to detail are needed, as well as an ability to work under pressure. A “self-starter” attitude is required
The ability to multi-task is important – the candidate should be organized and efficient
Enthusiasm for working with data, especially large financial data sets, automating calculations. Good aesthetics for cleanliness and correctness in calculations
Candidate should be able to demonstrate an interest in and broad knowledge of capital markets, investments, portfolio construction, and portfolio management

Wealth Management Resume Examples & Samples

Identify data issues and work with Oversight Manager to establish robust control processes to remediate while also determining root cause and more strategic means to resolve on an on going basis, e.g. training gaps, infrastructure weakness
Ensure consistent global use of key data elements – e.g., regulatory reporting codes, client/facility flags, NAICs, country and industry, entity classifications
Engage in relevant global consistency initiatives
Engage in CRI agenda – represent Credit Operations teams to appropriate working group forums for CRS related toolsets

Wealth Management Resume Examples & Samples

Pricing and Execution of FX and Rates trades in the full product range, including spot, forwards, derivatives and Structured Products
Build relationships with Private Bank investors and bankers throughout Europe
Work with strategists to develop and present on investment ideas
Maintain relationships with the traders in JPM Investment Bank and external counterparties to execute transactions
Manage market risks from a pricing and execution perspective, follow risk & compliance policies and procedures
Providing education and marketing materials (including pitch books) for sales force and clients on various FX & Rates topics
Assisting the marketing effort of trade ideas
Contributing and participating in Morning Meetings, Opportunity Calls etc.
Monitor and communicate business metrics to management on a periodic basis
Help identify business strategy to support growth and platform enhancements
Follow economics, international finance, foreign exchange/rates research and international news events

Wealth Management Resume Examples & Samples

Drive expansion and development of investment and new business capabilities for IWM desks in the US, EMEA, and Asia, providing regular updates to senior management & escalating risks / issues as necessary
Develop and manage project plans though strategy development, project definition, solution development, agreement, and implementation regionally and /or globally for business and regulatory priorities
Analyse current investment offerings and operating models across IWM and partner with the Asset Class Leaders and IWM Management Team to define new business priorities
For globally-driven priorities, work with control partners to clearly articulate proposals to address local regulatory nuances and obtain business sponsor buy-in where necessary
Define and prioritize the annual discretionary technology budget to support the relevant investment business and regulatory needs
Build detailed knowledge of current platforms, trading systems and front office and middle office process flows and identify opportunities for global harmonization and greater efficiencies
Minimum of 3-5 years of experience in large-scale project planning and product management
Understanding of the JPMorgan Asset Management organization, and specifically the businesses within Global Wealth Management
Working knowledge of investments across asset classes, including derivatives & structured products and alternative investments
Working knowledge of local regulations and legal framework
Advanced data analytics and excel skills

Wealth Management Resume Examples & Samples

General Ledger Operation: preparation, review and approval of journal entries, ledger maintenance, and reviews of balance sheet and income statements
Month-end Closing: calculate, book and oversee accruals and reserves. Prepare and review revenue & expense variance & trend analysis. Oversight of Inter-company transactions which includes review and resolution of all Inter-Company breaks. Work closely with fee operation team on the preparation of monthly revenue accruals
Regulatory Reporting – accurate regulatory reporting filed in a timely manner. Co-ordination of audits. Provide data as required to corporate and regulatory groups
Financial Reporting – preparation of Board Packages and Legal Entity Financial Reports. Provide MIS reports and analysis to business on an ad-hoc basis and participate in periodic local committee meetings
Treasury Operations – monitor legal entities’ daily cash movements and transfers, oversight liquidity and regulatory exposure, provide appropriate funding of the legal entities DDA accounts as well as assist with the local account payable functions
Controls Environment – establishing and maintaining a controlled ledger environment as it pertains to corporate policy, US GAAP and IFRS
Major Business Initiatives Support – provide guidance & support in the new business initiative process (including new products, merger & integration). Participate in the projects related to systems consolidation & conversions
3+ years of banking / financial industry experience as a financial accountant or auditor
Ability to multitask in a changing environment with attention to detail
Strong analytical and problem solving skills – ability to analyze complicated problems/scenarios to develop root cause analysis as well as remediation steps

Wealth Management Resume Examples & Samples

Maintaining the operating effectiveness of the control framework over Investment, Trading, Business related activities
Develop subject matter expertise and accountability for the front to end control processes for certain critical risk themes across the Asia Private Bank
Maintaining the operating effectiveness of the control framework for markets within Asia
Execution of controls over various critical investment related processes including but not limited to trade suitability review, order taking validation, accuracy and completeness of trade disclosures, account activity review, errors and complaints management etc
Working with key business stakeholders, legal, risk, and compliance to identify, set and execute against business control priorities
Participate in various control governance programs (ie. RCSA, NBIA etc)
5+ years of relevant private banking/wealth management experience
Comparable roles, Compliance, Surveillance, Risk/Operational Risk management or Audit experience is a benefit
Ability to work well on an integrated team. Team player who is easy to work with, shows commitment and dedication, and can maintain both a positive attitude and high level of performance on high demand/time-sensitive initiatives
Genuine interest in understanding risk and control framework within Wealth Management industry, understanding of Private Banking investments platform and private client needs
Candidate must enjoy working in a fast-paced and demanding environment and must be a strategic, conceptual and analytical thinker
Mindset to understand risk and control, compliance procedures and policies
Excellent organizational skills and the ability to effectively handle multiple priorities. Attention to detail

Wealth Management Resume Examples & Samples

Assist the Senior Philanthropic Advisor with acquiring new clients and developing existing client relationships. As you progress in your experience, you will also be expected to assume significant experience in working directly with clients and with senior management
Prepare client presentations and related material
Coordinate information and communication with clients and assist with follow up from client meetings
Participate in client meetings: advise on best practices in philanthropic giving, including: philanthropic vehicle selection and structuring; vision and mission statements; philanthropic operating procedures; governance matters; succession issues; and strategic grant making
Build trust with clients and manage key relationships to ensure that their interests are understood and that we provide the best level of service possible
Maintain and update internal tracking documents and weekly reports and updates for senior management
Maintain a strong professional and third sector community network and broad understanding of the target market community to build and maintain relationships with clients and prospects
Support new business development by working with colleagues in marketing, events and externally to create events, publications and other tools that both assist clients to become more effective in their philanthropy and generate business leads
Devise customised philanthropic strategies for existing or prospective clients, become an expert in the differences among various philanthropic models, conduct research and analysis on issue areas
Plan, facilitate and speak at donor educational forums, board meetings and other client activities designed to highlight best practices in philanthropy. Collaborate with team members and events and marketing teams to generate ideas, assist in event management and data analysis – tracking the success of events and ensuring appropriate follow up
Bachelor Degree in related field
Experience working with nonprofits, foundations or similar organisations is preferred
Willingness to travel around Europe for business and, less frequently, to New York
Salary commensurate with experience

Wealth Management Resume Examples & Samples

Detail-oriented and organized
Minimum 3-4 years of experience, primarily in financial services
LI-Post

Wealth Management Resume Examples & Samples

Partner with Oversight & Control, Compliance, Legal and Technology to develop, implement and support controls to ensure compliance with applicable rules, regulations, firm/business policies and procedures
Partner with Business, management and other SMs in addressing potential concerns and exceptions, including, but not limited to Mutual Funds, Hedge Funds, Private Equity, Private Placements, Portfolio Construction, etc.)
Review and provide policies and procedures to new employees and disseminate information relating to changes to policies, procedures and regulatory rules
Act as a key point of contact for internal examinations conducted by Compliance and Internal Audit, represent management in demonstrating adherence to policies and procedures, and provide documentation in accordance with requests
Participate and provide input in various risk and control committees and other controls/business forums
Assist in ensuring all relevant training to front office personnel is complete, including assigned and annual training, and provide special training as warranted on specific topics
Minimum of 6 years of relevant experience for VP and 10 years of relevant experience for ED
Securities licenses, including the Series 7, 63 & S9/10 (orS8), 24, and 4 all preferred or obtained within 6 months of start date
Experience in a wealth management business, risk and controls function preferred
Strong understanding of the regulatory requirements and best practices for brokerage, managed accounts, banking and fiduciary rules
Strong interpersonal skills, ability to influence others and escalate when necessary
Exceptional critical thinking, process review and improvements, analytical and communication skills (i.e. communicate effectively at all levels of the organization)
Possess sense of urgency, intellectual curiosity, resourcefulness, excellent analytical and problem solving skills, ability to synthesize large amounts of information and propose recommendations
Comfortable and adept at making decisions independently and dealing with conflict
Ability to work on an integrated team of control partners in supervisory and oversight roles and providing back-up coverage as needed

Wealth Management Resume Examples & Samples

Establish a "best practice" chart for user developments and assist with its implementation
Support existing Access / Excel developments for Operations
Be the point of contact for MIS and statistics
Assist the Projects team and Managers to analyse existing or new process flows

Wealth Management Resume Examples & Samples

Support new product development based on pipeline priorities, ensure results are delivered on-schedule and support product management initiatives
Develop and manage relationships with product stakeholders across regions (EMEA, Asia and LatAm) and functions
Organise calls, document minutes & project steps, ensuring effective timing and sequencing of deliverables to meet tight deadlines
Track project timelines and progress including reporting on key highlights, next steps and issues
Assist with change management initiatives
Support the team by assisting in the implementation of effective processes for new product launches and ongoing product management support
Provide assistance and information to business partners, operations, control teams and portfolio managers relating to product development and management
Excellent communication skills and has an ability to explain complex concepts to different functions

Wealth Management Resume Examples & Samples

Opening and closing accounts and ensuring necessary documentation is complete
Reviewing and managing clients' daily cash positions
Maintaining client confidentiality at all times and developing intimacy with client
Working as a partner with the integrated team (Bankers, Investment Advisors, etc)
Researching, following up and resolving client inquiries and problems through effective interaction with clients, bankers, investment advisors, product specialists, operations areas, and other employees in a timely and professional manner
Identifying cross-sell opportunities and escalating to bankers and product partners in order to provide advice to the client or to conclude a transaction
3-5 years' experience in the Financial Services and/or Banking industry are required
Ability to work effectively as part of a team
Effective communication both orally and in writing, internal and external to the Bank
Ability to multi-task, manage pressure, prioritize and remain detail-oriented
Fluent written and spoken Spanish and English are required

Wealth Management Resume Examples & Samples

Work with asset class leaders to scope product ideas which includes both new product concepts and enhancements to existing funds
Lead new product launches, including product structuring and managing delivery across all key functions within the business
Manage full life-cycle of funds, working with key business functions on changes to existing products and fund restructures, including mergers and closures
Partner with stakeholders to implement the product development agenda
Lead and implement the delivery of industry, business or regulatory change across the funds business
Significant experience in the asset management industry with particular expertise in structuring, developing and delivering regulated fund products (UCITS and AIFs)
Proven ability to engage with portfolio managers, investors and regional business heads to design and create innovative product solutions to meet market requirements
Solid understanding of the product development lifecycle and ability to manage and deliver new products and product changes within a large, complex, cross-functional environment
Solid project and product management experience demonstrating ability to identify gaps and develop innovative solutions across multiple stakeholder groups
Knowledge of regulatory developments affecting funds, including UCITS and AIFs
Bachelor's degree from an accredited, high quality institution
Ability to work in a fast paced environment, apply critical thinking and a logical/structured framework to a range of situations
Willingness to take ownership of initiatives and be proactive in leading and directing change
Excellent communication skills with the ability to build relationships across the business, at all levels of management and with third party management companies
Excellent strategic influencing and interpersonal skills, comfort in working with people at all levels and across all functions
High level of intellectual agility, ability to work independently as well as part of a team and the ability to manage business expectations

Wealth Management Resume Examples & Samples

Evaluation of collateral
Responsibility for keeping the deal pipeline up‐ to‐date
Responsibility for ensuring the annual reviews for the relevant region are completed on a timely basis

Wealth Management Resume Examples & Samples

Create engaging learning activities and compelling course content that enhances retention and transfer
Work with subject matter experts and identify target audience’s training needs
State instructional end goals and create content that matches them
Visualize instructional graphics, the user interface and the finished product
Conduct instructional research and analysis on learners and contexts
Analyze and summarize findings from policy documents, data sets or other sources to develop training content
Apply tested instructional design theories, practice and methods
Provide exercises and activities that enhance the learning process
Create supporting material/media (audio, video, simulations, role plays, games etc)
Decide on the criteria used to judge learner’s performance and develop assessment instruments
Maintain project documentation and course folders
Planning and execution of classroom and virtual instructor-led programs as well as eLearning programs
Work closely with Risk & Control team to ensure alignment to policies & procedures
Deliver training sessions globally
Participate in team, business and corporate meetings
Five years of proven team leadership experience in a training organization
The ideal candidate will be an expert in applying adult learning principles and instructional design methodology in a worldwide environment. S/he will thrive in a fast-paced environment
AML/KYC , Account Opening, Client Service background is highly desired
Instructional design experience in a training organization
Demonstrated use of analytical skills in a training organization
Ability to work with staff at all levels of the organization
A self-starter who possesses intellectual curiosity; proven team player at ease with rolled up sleeves; ability to successfully operate with limited guidance
Ability to use multiple learning methods and link appropriate methods with subject matter
Familiar with the Asset Management/WMIS brand and experience
Experience working with global organizations
Experience in designing leading edge/ 21st century training curriculum
JPMorgan Chase is an equal opportunity and affirmative action employer M/F/Disability/Veteran

100

Wealth Management Resume Examples & Samples

Update and maintain essential client records and adhere to a schedule of reporting deliverables
Accountable for reviewing customer profiles and ensuring that the identifying information required is up to date and accurate
Communicating with other Lines of Business within the company in order to get the latest and most accurate information
Documentation tracking and scanning using in house system
Update and maintain all relevant records, logs and databases
Strong attention to detail, methodical and process driven
Excellent knowledge of Microsoft Excel, Word and PowerPoint is essential
Excellent communication skills will be a key. Candidates must have a proven experience of oral and written communication in English across all levels
Capable of working independently on tasks from start to finish
Multitasking, capable of working under pressure and meeting tight deadlines
Fluency in English is essential

101

Wealth Management Resume Examples & Samples

Liaise with other teams on meeting schedules
Calendar management and associated tasks such as booking conference rooms, audio visual equipment, telepresence set up, documentation, meeting scheduling etc
Personnel on-boarding and off-boarding including logistic for new staff
Logistics & arrangement of meetings for visitor(s), management meetings
Assisting and/or leading team events
Able to work with a high degree of autonomy as well as part of a team
Fluent in Mandarin and English is required

102

Wealth Management Resume Examples & Samples

Identification of AML/KYC/Reputation risk and appropriate escalation
Ad-hoc AML/KYC related projects such as systems enhancements, workflow analysis, higher risk client reviews
Identifying inaccurate, incomplete or missing information on the KYC file
Identifying negative news and other money laundering/terrorist financing red flags in the client’s KYC profile for new customers, activity triggers, renewal triggers, and periodic reviews
In some cases, performing research, collecting additional data, and verifying the accuracy of information provided
Determining if the risk score/risk rating is appropriate based on the information in the KYC file; QC is able to adjust the risk score, when justifiable
Ensuring consistency among and within the various KYC documents (To check and implement)
Verifying information and corroboration provided in the source of wealth/source of capital section
Minimum of 1-2 years of experience within a financial services, operations, audit/compliance field preferred
Knowledge of AML/KYC requirements preferred
Knowledge of risk and control techniques/procedures
Prior experience relative to change management and process re-engineering, questioning conventional ways of managing the business and driving change to improve processes
Ability to work effectively in a team environment and ability to adapt to a rapidly changing business and technological environment

103

Wealth Management Resume Examples & Samples

Asset Servicing of Alternative products, ensuring correct processing and communications around Corporate Actions, Transfer and Retrocession monitoring processes
Management of various product and client documentation processes
Support of the project agenda (both ad hoc and strategic) to meet the changing requirements in the industry as well as driving efficiency gains and risk reduction

104

Wealth Management Resume Examples & Samples

Gain an expertise on the Client On-boarding (COB) system
Coordinate and schedule SIT/UAT/PERF PBA, LATAM, IPB, Swiss deployments within the broader standardized COB/KYC deployment schedule
Review and consolidate Release Instructions prior to deployments from our upstream partners
Work with other environment and disparate build teams when additional design or environmental requirements are necessary
Participate in Disaster Recovery events and Major Event Changes
Track and manage issues, risks, action items, and plan deliverable responsibilities for PBA/LATAM/IPB/Swiss Environment stability and deployments
Bachelor's degree in Computer Science or relevant discipline
Previous experience as a Technical Analyst, especially related to information technology initiatives
Experience with large, complex projects with a global footprint
Ability to work with cross-functional teams in the region
Experience with Agile Methodologies
Ability to be flexible, follow tight deadlines, organize and prioritize work while working across a globally dispersed organization
Strong knowledge in Linux administration and Unix scripts. Should be capable of automating the build and deployment process. Knowledge in Python, Javascript is good
Knowledge in GIT, BitBucket, Jenkins, SONAR, Maven, Gradle, junit
Knowledge in continuous Delivery tools

105

Wealth Management Resume Examples & Samples

Extensive experience working with complex international cross border private clients, their families and businesses
Strong knowledge of U.S. income and transfer tax laws; a working knowledge of international tax treaties with the US and the US taxation of foreign trusts; general knowledge with income tax and transfer tax systems in EMEA and Asia; a general familiarity with principles of US immigration, and the ability to apply all such knowledge to client-specific planning situations
Strong knowledge of individual, fiduciary, corporate and partnership income tax laws, with ability to apply that knowledge to client-specific planning situations

106

Wealth Management Resume Examples & Samples

Review and approval of payments and asset transfers from a credit standpoint (sufficient collateral, line availability)
Review and approval of loan drawdowns in line with our Credit Policy
Monitoring daily credit exposure to ensure compliance with authorized limits
Identifying, investigating and reporting collateral shortfall situations; ensuring prompt resolution in partnership with the front office
Determine resolution plans for credit over limits and unauthorized activity situations in partnership with the front office
Maintenance and monitoring of collateral values
Booking and monitoring of SBLC’s as well as Credit Card and physical guarantees
Review all Credit Approval Memorandum (CAM) requests, and submit for appropriate credit approval within the corporate credit policy framework
Set up all new and amended facilities in the corporate system, in accordance with the CAM requests and in a timely manner
Ensuring controls and procedures are solid and properly followed
Keeping all procedures current and up to date
Building and maintaining partnership with our peers
Up to 3 years relevant experience
Understanding of the private banking business and credit products
Languages: good written & oral communication skills in English
Proactive, responsive team player who can thrive in a dynamic and changing environment
Strong commitment, sense of integrity and exceptional drive
Ability to prioritize, take initiative and meet deadlines under pressure
Aptitude to digest large amounts of information and use it to develop innovative solutions
Possess strong attention to detail and problem-solving skills
Excellent interpersonal skills with an ability to communicate efficiently also in a virtual team environment

107

Wealth Management Resume Examples & Samples

Act as a change agent to enable delivery of the Client Onboarding agenda
Build detailed knowledge of the Client Onboarding workflows and organisation
Lead analysis to enable identification & prioritisation of improvement opportunities
Develop and support project plans through development, definition and implementation
Coordinate initiatives across regions to bring global consistency in processes, systems and best practices
Problem solver with solid analytical skills and high attention to detail
Strong organizational and prioritization skills. Project management skills preferred
Ability to take initiative and work without constant supervision
Must be fluent in English, other languages an asset
Experienced with Excel with Access a plus. Good knowledge of Powerpoint
Financial services background and knowledge of AML/KYC a plus

108

Wealth Management Resume Examples & Samples

Possess and emulate positive values and behaviors in ALL interactions
Assist Clients (internal and external) with escalated issue resolution, event alert notifications and general service inquiries
Serve as an informational resource for department peers, department managers and internal business partners as required
Series 7 / 24 required, Series 99 an acceptable substitute
10-15 years of experience in financial services / securities operations
10-15 years of leadership and managerial experience
Expert knowledge of brokerage industry regulatory requirements
A high level of emotional intelligence
Experience in software, process and control design
Possess a strong sense of initiative with a high sense of urgency and professionalism, with a demonstrated ability to handle multiple concurrent issues within strict timeframes
Strong communication and people skills with the ability to work in a team environment
Strong analytical skills with a close attention to detail, demonstrating a focus on continuous process improvement
Ability to present a professional image and demeanor to internal/external customers and team members
Ability to communicate effectively, both orally and in writing, with internal and external customers
Accelerated skills in Microsoft Office, particularly advanced Excel proficiency preferred
Prior experience with line of business brokerage applications and processes a plus

109

Wealth Management Resume Examples & Samples

Assisting with the quarterly reporting process, including preparation, printing and mailing of reports
Entering basic data for software including eMoney and Black Diamond
Maintaining client accounts (money movement requests, transfers, required minimum distributions, record filing, address changes, cost basis)
Compiling various reports in Microsoft Office with the purpose of tracking new incoming money, RMDs, cash balances, and tax loss harvesting
Leading process improvement projects and transitioning to new platforms
Overseeing client relationship management software including tracking and note keeping
Preparing new account applications, account transfer forms, and other paperwork associated with onboarding new clients
Preparing material and supporting documents for client meetings, including performance reports
Rebalancing client portfolios and entering trade orders
Reconciling and printing of tax documents
Supporting basic compliance needs including trade logs, business continuation plans, and required client records
1-3 years of administrative/operational support experience within the investment/financial markets industry
Ability to uphold ethical and professional standards as outlined by the Firm
Advanced proficiency with Microsoft Office
Previous experience in supporting advisory teams, investment managers, broker dealers, or other related financial services environment
Excellent organizational skills with the ability to prioritize multiple tasks, projects, and assignments
Strong problem solving skills and attention to detail with a track record of accuracy
Self-motivated and able to work efficiently to meet strict deadlines
Ability to obtain FINRA Licenses within first month of employment
Experience with Client Relationship Management software
Team player - works toward team goals
Exceptional written and verbal communication skills with a passion for excellent client service
Follows direction with ease

110

Wealth Management Resume Examples & Samples

Provide thought leadership on asset class
Develop quantitative insights on manager positioning trends, factor exposures, factor performance/valuation, market tailwinds/headwinds
Interact with portfolio construction and strategy to ensure strategies reflect current investment thinking
10+ years of practical, hands-on investment experience
Experience within asset management industry
Suitable "presence" to represent the Private Bank to clients and industry partners

111

Wealth Management Resume Examples & Samples

Interact with internal partners (Bankers, Investors, Capital Advisors, Credit Executives) and private clients to deliver the best fully secured credit product solution with a sound credit structure
Maintain a consistently high level of awareness around any potential credit issues. Proactively resolve exceptions, including under margin situations, past review facilities, past due principal/interest and documentation exceptions
Prepare credit memos which should completely outline the proposed credit structure including accurate risk rating assessment and any potential collateral issues (e.g. security concentrations)
Ensure follow up on all relevant open items and transactional issues, e.g. documentation, covenants, etc
A Business, Finance or Mathematics degree/qualification
Private Banking credit risk or lending experience
Knowledge and/or experience of underwriting, lending value analysis, return on equity assessment, KYC, cross border validation
Knowledge and experience of systems such as Bloomberg or Murex is advantageous
Ability to work well in an integrated team environment
Track record in working with teams from various markets /countries
Additional language skills would be an asset. For this role French language fluency is required

112

Wealth Management Resume Examples & Samples

Build, structure and manage the team
Work with the UK Market Manager to ensure an effective approach to hiring and retaining the best talent, performance management, talent management, training and integration of new joiners within the team
Overall responsibility for leading and developing a team of Private Bankers, Investors and Support staff. This includes day to day leadership, coaching and mentoring and responsibility for performance management
Manage day to day operations to ensure systematic, forward thinking and disciplined approach to sales management, client acquisition, and servicing clients
Responsible for ensuring the team utilises a consistent and effective approach to sales and implementation of investment, banking and trust/estate products
Provide ongoing coaching and feedback to ensure bankers are leveraging and coordinating specialists (Investor, Capital Advisor, Trust and Estate Advisor and Wealth Advisor) to provide interdisciplinary expertise for our most complex clients
In addition to day to day management of these markets, this role should also grow the team’s book of business and will be responsible for prospecting and developing leads for new clients

113

Wealth Management Resume Examples & Samples

Strong technical skills including intermediate working knowledge of Microsoft Excel and MS Access
Comfortable addressing complex issues and escalating to management as necessary
Demonstrated ability to maintain effective client and peer relationships
Knowledge and experience with PB/PWM products and systems preferred
Knowledge of Trust, Banking, Lending, Brokerage and Portfolio Management a plus
Willingness to learn new skills and to enhance knowledge of legal, regulatory, systems, corporate and other issues related to the job

114

Wealth Management Resume Examples & Samples

Design and build out of new controls and assurance models in line with new business initiatives
Previous experience in a financial institution/Assurance firm with previous audit or monitoring and testing experience
Strong communication and negotiation skills in order to facilitate communication with employees of varying levels, with diverse roles and different native languages. Ability to communicate in a clear, concise and efficient manner with multiple support teams, both locally and globally

115

Wealth Management Resume Examples & Samples

Fosters an environment where risk/control issues are escalated timely and appropriately addressed
Escalation point for issues and face off to key stakeholders ; responsible for managing expectations and enhancing the client experience
Work with various technology teams on system enhancements, clearly articulating requirements, managing UAT and ensuring quality systems are delivered by the agreed timeline
Review policies and procedures impacting the team and provide sign-offs
Responsible for ensuring that process outputs for Account Control Team are of high quality, in line with internal quality standards; escalating any issues to Asia Onboarding Lead
Provides direction, oversight , advice and guidance to team members within own area of responsibility to create and foster an environment of continuous improvement
Trains and develops talent, provide SME / technical support (including training) to the team; identify knowledge gaps and work with onboarding team Trainer to conduct training sessions to drive high quality output
Regularly identify process improvements, efficiencies, and opportunities to impact unnecessary bureaucracy; Partner with Asia Advisory Council to improve efficiency and client experience on New Account Opening
Communicates in a clear transparent way updates / changes to the policies, procedures and regulatory updates to the team
Handle audit / regulatory requests to ensure the request is handled in an orderly and timely fashion
Stays abreast of changes within lines of business and the company’s policies, procedures, and processes
Hold self and others to the letter and spirit of the Code of Conduct, its policies, and related local laws and regulations; meet internal/external risk and compliance obligations
Drives effective issue resolution within boundaries of policy, ensuring cases are completed in line with defined service level agreements
Fosters culture of open, honest and direct feedback
10 years of experience with in a financial services, operational, compliance fields or client onboarding
Experience in successfully delivering as part of global or regionals teams with demonstrated experience in navigating complex infrastructure
Strong experience in stakeholder management
Experience in managing multiple stakeholders across geographies with demonstrated experience in facilitating collaborative decision making
Demonstrated experience as a key contributing member of a high performing organization and delivered on strategic initiatives
Experience in performing in a fast-paced environment; adjust readily to multiple demands, shifting priorities, and rapid change with composure
Able to quickly review and decision a situation; effectively sort through fact and emotion. Can assemble the full story pulling together facts, information and opinions from a variety of sources

116

Wealth Management Resume Examples & Samples

Responsible for ensuring that process outputs for its ‘Pod’ are of high quality, in line with internal quality standards; escalating any issues to New Account Opening Team Lead
Escalation point for issues and face off to key stakeholders
Develop and produces critical metrics and reporting which provide data related to department performance, risk quantification and stratification and resource capacity limitations
Trains and develops talent, provide SME / technical support (including training) to the OO; identify knowledge gaps and work with Team Lead – OO to conduct training sessions to drive high quality output
Act as role model in relation to driving high quality outputs
Responsible for coordinating the effective completion of each assigned case from initiation to completion; following up with teams responsible for completing sub-activities across the end to end New Account Opening process
Act as primary interface for Bankers; responsible for managing expectations and enhancing the client experience
Communicates in a clear transparent way and articulates on-boarding requirements and time commitments to the banker
Set and manage the priority of all on-boarding requests through ongoing engagement with business, whilst proactively managing the on-boarding pipeline throughout all stages of the process
Single point of contact to facilitate all queries for that case, including issues around PEP, screening, regulatory, compliance, legal, operational risk, account opening
Undertake Client due diligence on a timely basis and ensure they are performed to meet the required quality and detail standards as required by Policy & Procedures
Analyze AML risks associated with the client from a technical perspective, identify and escalate potential risks and operational issues as appropriate
Identify red flag / dot situations and escalate in line with policy and procedures
Ensure necessary KYC docs are attached to the client’s CDD in line with policy and procedures
Ensure New Account Tracking file is updated on real time basis so as to reflect the accurate status
Ensuring appropriate and confidential handling / sharing of sensitive client data
Contribute ideas and participate in efforts to drive continuous improvement to enhance service delivery
Escalate issues in a timely manner in line with the escalation protocols
Escalate recurrent issues surrounding the onboarding process to management
Work independently and complete assigned tasks within the established timeframes
Participate in UAT and make suggestions on system improvements
Relevant experience in Client Onboarding
Strong interpersonal, analytical, problem solving, negotiating, influencing, facilitation, organizational, prioritization, decision-making and conflict resolution skills

117

Wealth Management Resume Examples & Samples

Strong analytical skills, including financial analysis
Interest in structuring credit transactions
Ability to interact effectively with internal stakeholders
Minimum GPA of 3.2

118

Wealth Management Resume Examples & Samples

Deliver to our internal partners (Bankers, Investors, Capital Advisors) and Clients the best fully secured credit product solutions with a sound credit structure utilizing credit policy and adhering to all applicable regulatory requirements
Maintain a consistently high level of awareness around any potential credit issues and to resolve exceptions as soon as possible. These exceptions include effectively managing under margin situations, past review facilities, past due principal/interest and documentation exceptions
Bachelor degree in a related field required
Good organizational skills and ability to work with minimal supervision in a high production and fast-paced environment

119

Wealth Management Resume Examples & Samples

Ensuring the accuracy of performance returns through completion of performance outlier investigations, working with Technology and Operations teams to resolve data quality issues
Production of monthly and quarterly performance reports for Hedge Fund Advisory clients and completion of checker reviews
Maintenance and calculation of performance composites across investment strategies and products
Supporting investors and bankers with timely and accurate investigation and responses to performance and client reporting enquiries
Ensuring timely and accurate collection of Management Information reporting
Working with control functions to ensure adherence to policies and procedures and contributing to a strong risk and control framework

120

Wealth Management Resume Examples & Samples

Critically analyze procedures against obligations and drive engagement with key functions including Legal, Compliance, Risk, and Business to understand impact to the business and collectively assess the sufficiency of current procedures procedure
Coordinate across WM, AWM, and firmwide team, as needed, on shared key obligation themes
Build and maintain excellent relationships with internal partners and colleagues
6 years controls management, legal and compliance, management consulting, or equivalent experience in complex financial enterprises; knowledge of wealth management businesses, risk & controls preferred
Knowledge of laws, rules and regulations applicable to wealth or investment management businesses
The ideal candidate will have experience reviewing or advising on policies and procedures
Exceptional leadership, interpersonal, and collaboration skills, with the ability to successfully engage a broad range of individuals across various business segments and key support functions, to achieve goals without direct control over resources
Ability to motivate and gain consensus among team members to determine impact and procedure sufficiency
Ability to multi-task and adapt to changing priorities in a dynamic business environment, and continually reprioritize to focus on the key issues / topics
Excellent skills using Excel and MS PowerPoint tools efficiently
Ability to learn new concepts, systems, processes, and initiatives

121

Wealth Management Resume Examples & Samples

Collaborate with the business analysts and developers, support teams and release management located in various locations globally
Independent worker in a team-based environmenta
Outstanding development skills in Core Java
Experience with Spring framework, JPA/ORM Tool like Hibernate, Mybatis.JEE containers like tomcat, WebSphere
Strong experience on service oriented architecture using Rest/SOAP. Knowledge on micro services architecture has added advantage
Experience on HTML5, CSS Styling, JavaScript (Angular JS/React JS/any other java script framework). Knowledge on ES6, Type script is preferred
Experience on middleware technology like JMS, Mule
Experience on testing automation tool like Selenium/Cucumber/Fitnesse
Experience on unit testing Junit/Mockito frameworks
Experience on databases like Oracle/Sybase using SQL, PL/Sql
Experience with Agile practices (Scrum, TDD, BDD), Continuous Integration using Jenkins
Preferable to have exposure to Big data technologies

122

Wealth Management Resume Examples & Samples

Ability to support Bankers during the sales process and ongoing client management. Includes reviewing and building pitch books, coordinating information and communication with clients and execution of client needs
Supports Banker on client hierarchy and pipeline management
Ability to learn proprietary software and databases; ability to master wealth planning software, including Planning Station modules, WA models, MAPS/CHART (as appropriate)

123

Wealth Management Resume Examples & Samples

Work in conjunction with the strategist and investment committee to identify investment objectives and translate to investment opportunities in the equity space
Review Equity research in depth and identify potential opportunities
Communicate in presentations and writing with the client facing teams to explain the views and characteristics of the investment opportunities in the platform
Provide thought leadership on the asset class

124

Wealth Management Resume Examples & Samples

A clear focus on managing client assets and delivering strong risk-adjusted returns
Minimum education required: Bachelor's degree or equivalent in Business Administration, Finance, Economics, Accounting or related field preferred. Compensating work experience will be considered
Minimum experience required: 3-5 years of experience in financial services, preferably in investment or credit related roles. Experience in a risk and control function strongly preferred. Management experience is a plus
Skills required: Operational risk analysis, process improvement and end-to-end process evaluation. Ability to work independently to achieve objectives and balance multiple activities concurrently. Strong verbal and written communication skills required. Aptitude for developing and leveraging effective relationships. Ability to isolate the root cause for control gaps and identify and suggest viable solutions. Excellent organizational and time management skills. Able to quickly learn policies and operational processes. Proficiency with Microsoft Office applications

125

Wealth Management Resume Examples & Samples

Work closely with the U.S. Senior Business Management team on the tracking and execution of projects impacting the Private Bank business and client and advisor experience
Manage project plans and timelines, anticipate roadblocks, and proactively provide solutions that deliver high-quality and timely results
Facilitate meetings and workshops with senior level project stakeholders
Work closely with the U.S. Senior Business Manager on projects impacting the client and advisor experience by partnering with program management across diverse business, control, and technology teams on the development and delivery of new business initiatives, training, technology, and other business development solutions
3+ years of related experience required, ideally in project and change management at a large financial services organization
Experience with workflow and operating model design
Excellent organizational skills – ability to be flexible, follow tight deadlines and prioritize work in high-pressure situations across multiple concurrent workstreams
Results-oriented, self-starter – able to identify areas to add value, execute efficiently, and influence change in collaborating with diverse stakeholders
Strategic decision making and analytical/problem solving skills
Professional maturity to work with the CEO and other senior executives and manage sensitive information
Understand risks, issues, and action items and engage program lead and senior executives as needed

126

Wealth Management Resume Examples & Samples

Work with the Hong Kong Operations Risk & Control team in the production and analysis of metrics as well as ad-hoc business requests
Take the lead on developments to support the Operations team as a whole in Asia
Manage outsourcing agreements between J.P.Morgan legal entities
Regulatory Reporting
Control Self-Assessment ownership
UDTs ownership, remediation and documentation
Vendor Oversight
Handling unplanned initiatives. Drive projects with impacts across Operations teams
Establish a “best practice” chart for user developments and assist with the implementation
Support existing Access / Excel developments for operations
SQL knowledge
Knowledge of Relational Database Modelling
Access Knowledge, ability to construct and maintain complex databases
Advanced Excel including VBA would be advantageous
Experience with Olympic Banking System would be advantageous

127

Wealth Management Resume Examples & Samples

Must be highly disciplined, a self starter, and have the ability to execute on assignments independently
Adaptability to learn new tasks and demonstrate a willingness to understand the details of a process
Strong capacity for operating in a flexible, dynamic environment where creative and strategic thinking is required
A proactive approach to problem solving and taking ownership of issues

128

Wealth Management Resume Examples & Samples

Quality assurance activities including performing call observations
Assist in developing, writing, and maintaining procedures; Evergreen ownership of designated procedures within Wealth Management Answers
Monitoring and reporting on important metrics
Performs analyses using spreadsheet and database tools; makes recommendations to management based on findings
Building and delivering communication and training to employees
Provide oversight for employee onboarding and new hire licensing program
Liaise between organizations, across sites, lines of business, and various teams to represent the business
Identify and report areas for process improvements, gaps, or outages; build cases studies and documentation to perform needs analysis
Root cause analysis and evaluation; ownership of corrections or remediation within the business
Conduct due diligence and focus on overall business readiness for events (e.g. conversions, mailings, new product/system launches, etc.)
Frequently leads projects/ complex assignments with little supervision. Ensures projects are completed according to established timelines and budget
Responsible for writing charters, requirements, and collecting/organizing documentation
May be asked to own risk and control testing including writing user acceptance test scripts and performing UAT testing for business technology projects
Preparing presentations for Sr. or Executive Management
May manage employees or managers
Minimum of five to ten years of related experience or financial services industry experience
Excellent oral and written communication skills. High degree of comfort presenting information to large audiences at various levels of the organization
Self-driven, Excellent interpersonal/communication and organizational skills
Experience in writing and preparing presentations, corporate communications, training materials, or test scenarios
Ability to manage multiple priorities in a fast paced environment with heavy phone-based client and colleague interaction; highly adaptive to change
Demonstrated ability to be a leader and influence positive change in a professional environment
Strong compliance record in prior position(s)
Bachelor’s or Master’s degree preferred

129

Wealth Management Resume Examples & Samples

Participating in projects of all sizes; Leading small to medium impact projects
Assist in developing, writing, and maintaining procedures
Assist with employee onboarding and licensing
Assist with risk and control testing
Identify and report areas for process improvements, gaps, or outages; build case studies and documentation to perform needs analysis
Issue escalation, troubleshooting, and resolution
Root cause analysis and evaluation
Minimum of five years of related experience or financial services industry experience
Self driven, Excellent interpersonal/communication and organizational skills; strong written communication skills

130

Wealth Management Resume Examples & Samples

New client development and onboarding
Estates
Insurance and annuity products
Complex orders (such as trading options, alternatives, large orders, or other unique types of securities involving additional risk to the client or firm)
Entity accounts and business retirement plans (e.g. small business, non-profit organizations, pension benefit trusts, money purchase plans, etc.)
At least five to ten years of financial services or brokerage experience preferred
Life and health insurance licenses
Mastery of effective client profiling discussion techniques, active listening skills, and the ability to make complex concepts simple
Extremely organized and detail oriented, demonstrating working knowledge of Windows, Microsoft Office

131

Wealth Management Resume Examples & Samples

Data entry into a wide platform of systems
Initiating requests and orders (software, applications, hardware, supplies, etc.)
Workflow management including shared mailbox management and organization
Mail and fax processing – inbound and outbound
Reviewing documents for quality and “in good order” status
Complete research requests
Assist with risk testing and tracking
Supporting licensed employees with completing account maintenance and client servicing
Support managers with delegated tasks such as filing, meetings, or expense/invoice processing
Monitor processes for adherence to service level agreements
Identify and report areas for process improvements, gaps, or outages
Call center experience preferred
Self driven, excellent interpersonal/communication and organizational skills
Ability to work in a fast paced professional environment with heavy phone-based client and colleague interaction

132

Wealth Management Resume Examples & Samples

Work with the Business Management team in executing business strategies across different areas such as sales, controls, product strategy and development
Connect with global teams on business priorities and different initiative implementations
Implement process changes to streamline and tighten controls to reduce business risk
Establish strong working relationships with all business partners throughout the Wealth Management organization - across functions and geographies
Over 5 years of relevant work experience within the financial services industry, ideally with exposure to project coordination / business management, consulting experience preferred is preferred
Ability to multitask; business reviews decks, management reviews, regulatory reviews amongst ongoing support to WM CEO Asia
Articulate in written and verbal communication, native to fluent written and spoken English, Chinese language (Mandarin) skill a major plus

133

Wealth Management Resume Examples & Samples

Team with WM US Operations Business Partner in developing budgets and forecasts, as well as supporting the ongoing monthly results primarily regarding headcount
Work closely with operations managers to track, forecast, and analyze headcount; partner with management on strategy to drive efficiencies; identify opportunities and a be the trusted advisor to your operations partner
Provide ad-hoc analysis including scenario analysis
Partner with the rest of the local finance team
Prior experience in the Financial Services industry
Advanced skills in MS Excel, Access, PowerPoint and Essbase
Creative self-starter with strong initiative, ability to take ownership and work independently as well as on a team

134

Wealth Management Resume Examples & Samples

2+ years prior experience as a business analyst or project manager is required
Advanced level ability in all MS Office tools (Excel, Pivot Tables, Access, PowerPoint)
Ability to work on various tasks at any given time with the ability to prioritize without significant guidance
Excellent strategic influencing and interpersonal skills, comfort in working with people at all levels across all functions
Ability to develop effective partnerships with key business partners
Team player who is easy to work with, shows commitment and dedication, and can maintain both a positive attitude and high level of performance on high demand/time-sensitive initiatives

135

Wealth Management Resume Examples & Samples

Manage the credit documentation process for France and support Italy, in partnership with other locations
Regularly partner with and provide support for colleagues in other locations (Geneva, Honk Kong, Singapore, New York, Paris, Madrid, Milan, Frankfurt)
Liaise with Capital Advisors, Credit Executives and internal & external Legal teams on documentation requirements and validation
Maintain a controls mind-set, able to challenge the status quo and identify process efficiencies
Either a university graduate (preferably Law or Finance) or relevant commercial experience with some basic experience in dealing with client credit documents
Ability to work independently, self motivated with ability to prioritize work and meet tight deadlines
Knowledge of credit products in European countries (e.g. France or Italy) is a plus

136

Wealth Management Resume Examples & Samples

4-6 years of relative experience and a proven ability to provide strategic HR consulting
Strong interest in working with and developing junior talent
Strong consulting, influencing and negotiation skills on all HR disciplines including recruitment, talent, leadership development, performance management, compensation, and diversity
Exceptional judgment, demonstrated ability to make sound decisions and be creative in developing alternative solutions in a fast paced environment
Ability to objectively coach and provide feedback to employees and management through complex, difficult issues
Understanding of the Wealth Management business preferred, with proven ability to link HR strategy to business goals
Ability to partner with colleagues to influence broader HR strategies and practices for the benefit of the organization
Creative thinker/problem solver, able to manage and make decisions across multiple initiatives
Demonstrated ability to lead and manage multiple projects and stakeholders across the globe
Excellent oral and written communication skills; strong presentation skills with ability and comfort speaking in large group forums
Proven analytical skills and data management capabilities

137

Wealth Management Resume Examples & Samples

Strong leadership and management skills, able to lead a team of 5 based in Hong Kong and Singapore
Strong interpersonal, communication and written skills, excellent proficiency with written English is a must
Ability to plan resources effectively, set objectives and provide individual feedback on performance on an ongoing basis
Ability to build strong rapport with bankers, product partners, other internal and external parties
Ability to leverage other lines of business in the Bank (e.g. Technology) to resolve system issues, improve productivity, efficiency and controls
Participate as a subject matter expert in projects involving new system implementation which affect Investors and for some of the initiatives, acting as project lead
Understand and comply with the policies and procedures related to private banking operations
High level of integrity and a good sense of judgement
Deep knowledge of Private Bank Operations in terms of financial products and client entity structures
Strong comprehension of how transactions are done through the firm's processing and reporting systems, and an in-depth understanding of all operation roles and inter-dependencies
Advanced level in Excel & PowerPoint would be advantageous

138

Wealth Management Resume Examples & Samples

Process cancel/corrects
Update account information as needed
Approve suitability of accounts to participate in Private Equity, Hedge Funds and Structured Products
Review and approve the opening of new accounts
Answer surveillance related inquiries from compliance
Approve employee personal trading requests
Review and approve gift requests
Review and update team email lists for the surveillance as needed
Review and assist with registration updates and employee pre-hires
Strong understanding of regulatory requirements and best practices for Brokerage and Private Bank environment
Series 7, Series 63, Series 8 (9&10), 24
If hired, you will be required to pass Series 4 within four months of start date. Will consider candidate without the S24 but candidate will be required to pass the S24 within three months of start date

139

Wealth Management Resume Examples & Samples

Deep financial markets and PB investment product knowledge
Judgment and professional maturity to handle sensitive information and work with senior management
Strategic business mindset – ability to identify improvements and ways to create efficiency
Ability to execute ideas, initiatives and improvements quickly and accurately
Exceptional problem-solving skills and attention to detail
Ability to multi task and handle high pressure situations and tight deadlines
Intermediate to advanced Excel and PowerPoint
Ability to make and maintain relationships
Strong work ethic; enthusiasm for business and eagerness to work on any task that will add value

140

Wealth Management Resume Examples & Samples

Lead and Manage the Client Onboarding team
In charge of KYC information for the Swiss bank in the first line of defence
Own 3 KYC processes, Onboarding of new clients, KYC Periodic Review and Updates
Support business development and protect bank and its clients
Facilitate and improve Client Onboarding journey
Partnering with the client facing teams to ensure an high level of quality for KYC, legal documents and associated information to meet all regulatory and internal polices
Act as escalation step for a KYC and AML subjects in the first line of defence
Partner with other Onboarding teams, Central File and Quality Control
Discuss and escalate with Compliance and Legal complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues
Master Degree – Law, Accounting, Finance, or Business preferred or equivalent military experience
Minimum 15 years of experience within financial services, operational or compliance fields. 10 years of experience in people management is required
Experience in leading / managing global teams
Prior experience in AML / KYC / Risk Management
Strong written and oral communication skills in English. French a plus

141

Wealth Management Resume Examples & Samples

Help construct and maintain a comprehensive asset class framework that institutionalizes the PB-CIO Team’s philosophy and approach to equity investing as part of a global multi-asset process and platform
Strong understanding of tactical asset allocation across regions, sectors and market capitalization
Clear understanding of the investment management industry from both a fiduciary and strategic perspective

142

Wealth Management Resume Examples & Samples

Fluent in Spanish
In depth experience and/or knowledge of hedge funds, private equity and alternative investments
Demonstrated understanding of wealth management including, but not limited to: credit, deposits, trust and financial planning

143

Wealth Management Resume Examples & Samples

Manage regional / coordinate global projects throughout their life-cycle
5+ years in project management, operations or related banking experience with product and change management focus
Advantage if have had prior working knowledge or exposure to Private banking sector and/or private wealth management areas
Fluency in English (verbal and written) is expected; preference for multiple languages though not essential. Advantage for demonstrated confidence in and ability to present in small to large groups in English and Cantonese or Mandarin language
Proven project management experience with documenting and writing business requirements and project plans. Advantage if with working knowledge of Agile methodology Strong working knowledge of Microsoft Office (Excel, PowerPoint, Visio, Word)
Delivery and ownership focused. Ability to follow through on end to end delivery (issues raised, suggestions, implementation, training and post implementation support)

144

Wealth Management Resume Examples & Samples

Responsible for ensuring that process outputs are of high quality, in line with internal quality standards; escalating any issues to the Document Review / KYC Maintenance Team Lead
Responsible for coordinating the effective completion of each assigned case from initiation to completion; following up with teams responsible for completing sub-activities across the end to end Doc Review / KYC Maintenance processes
Communicates in a clear transparent way and articulates on-boarding requirements and time commitments to the banker / New Accounts Team
Single point of contact to facilitate all queries for that case, including issues around PEP, screening, regulatory, compliance, legal, operational risk
Ensure Doc Review / KYC Maintenace file is updated on real time basis so as to reflect the accurate status

145

Wealth Management Resume Examples & Samples

Clients with significant wealth (Affluent, High-net worth, or Ultra high-net worth client segments)
Written correspondence (e.g. email or secure messaging)
At least five to ten years of financial services or brokerage experience required
Strong written communication skills and understanding of written correspondence regulation, particularly proper client email communication
Strong understanding of Managed Account products and overall competitive landscape

146

Wealth Management Resume Examples & Samples

Requires 0-2 years related financial industry experience
Requires either FINRA Series 7 and 66 licenses or to obtain licenses within 90 days of hire
Prefer brokerage, annuity or retirement knowledge
Proven customer service and professional communications skills
Strong customer focus and listening skills
An ability to multitask and willingness to learn
Leadership skills and a competitive spirit
An ability to work closely with team members to achieve both individual and group goals
Self discipline
Patience
Prefer Bachelor's degree or equivalent work experience

147

Wealth Management Resume Examples & Samples

Support and act as liaison on behalf of Head of Chase Wealth Management Operations Strategy and Planning on a range of projects to enhance business planning, client and field experience, including problem identification, detailed analysis feedback, solution design, project planning and execution
Coordinate business strategy across CWM Operations Strategy and Planning
Create materials such as executive presentations, including planning sessions, strategy overviews and preparedness briefings
Partner with the Chase Wealth Management Leadership to manage implementation of strategic initiatives key to growth and profitability, including working across Operations to implement initiatives that transform how we do business and serve our clients
Create and Maintain location strategy coordinated with real estate, finance, and AWM for CWM Operations
Lead resource management across CWM Operations Strategy and Planning
Work with various wealth management partners, including field, product, supervision, risk, controls, compliance, and legal teams in defining, prioritizing and achieving strategic objectives, and ensuring all firm wide initiatives meet specific business needs
Ability to articulate a well thought-out business case and its bottom line and financial impacts through research and synthesizing data from a variety of qualitative and quantitative sources
Structure agendas, develop content, and facilitate planning and execution sessions for internal leadership conferences
Proactively identify key business risks and opportunities, and contribute innovative suggestions for improving CWM Ops and increasing its efficiency
7 to 10 years of experience with in a financial services organization focused on strategy, operational or program management disciplines
Prior business management experience preferred
Experience in influencing or leading teams in multiple US locations
Builds a sense of community, creating a positive team environment and modeling a global, diverse mindset and inclusive behavior

148

Wealth Management Resume Examples & Samples

Provide 1st level control and oversight of the investment business for a defined client segment
Primary contact for the Client Service Tea
Review and assess investment concentration issues in client accounts
Review materials provided to clients to ensure they are appropriate and aligned to the clients investment objectives and needs
React to, manage and handle potential client situations e.g. trading errors or client complaints
Attend front office meetings to provide relevant feedback and stay apprised of their current priorities
Escalate issues to senior management in the Business and Risk Management

149

Wealth Management Resume Examples & Samples

Minimum of 7 years experience in Wealth Management or Investment Management
Fluent in English. Additional languages also desirable: Spanish, French
FCA approved person status (or in the process of receiving)

150

Wealth Management Resume Examples & Samples

Coordinating the preparation of monthly senior management business reviews
Creation and maintenance of management information reporting and routine communication
Driving the implementation and maintenance of a tool to manage departmental initiatives
Ownership and coordination of ad hoc business initiatives
Providing support for departmental users tools built in Microsoft Access
Assisting with process improvement reviews
Cross-training on various functions to assist peers with coverage during peak volumes or vacations
Bachelor's degree or equivalent in Business Administration, Finance, Economics, Accounting or related field preferred. Compensating work experience will be considered
5+ years of experience in financial services
3+ years of experience in a Business Analyst or comparable role
Experience with Investment/Securities or Credit related functions, and Risk and Control management a plus
Ability to work independently to achieve objectives and balance multiple activities concurrently
Presentation creation and reporting skills required
Proficiency with Microsoft Office applications including Microsoft Access, Excel and PowerPoint required
Aptitude for developing and leveraging effective relationships
Operational process improvement
Demonstrated strong problem solving and decision making skills

151

Wealth Management Resume Examples & Samples

Ability to develop new business through superior marketing skills
Broad knowledge of the Wealth Management business
Drive and ambitious with proven sales success including: prospecting, profiling, overcoming objections, negotiation, team selling approach, closing the sale and asking for referrals
Self-starter, extremely organized and detailed-oriented with strong commitment to accuracy
Bilingual; Spanish/English fluency both oral and written
Ten plus years experience in Private Banking working with High Net Worth and/or Ultra High Net Worth individuals and families or related fields within financial services
Excellent interpersonal skills,

152

Wealth Management Resume Examples & Samples

Responsible for ensuring that process outputs are of high quality, in line with internal quality standards; escalating any issues to Periodic Review Team Lead
Provides advice and guidance to team members within own area of responsibility to create and foster an environment of continuous improvement
Responsible for coordinating the effective completion of each assigned case from initiation to completion; following up with team members within own area of responsibility for completing sub-activities across the end to end renewal process
Communicates in a clear transparent way and articulates AML / regulatory requirements
Single point of contact to facilitate all queries for that cases within own area of responsibility, including issues around PEP, screening, regulatory, compliance, legal, operational risk
Ensure Periodic Review Tracking file is updated on real time basis so as to reflect the accurate status
Relevant experience in Client Onboarding – min 3 years

153

Wealth Management Resume Examples & Samples

Client Onboarding Specialists are expected to stay current with all regulatory changes and requirements around client KYC, Suitability and Documentation
Client Onboarding Specialists are expected to master all of the technology utilized in the client on-boarding and account opening process. As technology evolves,
Client Onboarding Specialists are expected to learn and master the new technology to improve efficiency and optimize execution, tracking and control capabilities
Client Onboarding Specialists are accountable for coordinating the participation of Marketers, Product Specialists, Risk, Legal, Technology and Operational Support personnel, where required
Client Onboarding Specialists are expected to meet the needs of clients while adhering to the firm's established policies and procedures
Perform periodic KYC (Know Your Client) reviews focusing on client documentation and account authorized parties
Strong understanding around the governing documentation of a legal entity (legal entity structures, operating LLC’s, bi-laws etc.)
Liaise effectively with client-facing teams; provide strategic guidance as needed around client documentation, account opening policies, and Global Wealth Management standards
Assure adherence to corporate and regulatory control standards including KYC (Know Your Client) and AML (Anti-Money Laundering.)
Pre-fill account opening documentation through requests from Financial Advisors and or Client Associates
Track, communicate and respond to inquiries related to documentation status/issues
Leverage in-house technology to record client information; keep current with system updates and rollouts
Ability to develop strong relationships with and gain the confidence of both integrated team partners and clients
Ability to obtain and handle sensitive and confidential information and required documentation in accordance with firm policies and procedures
Strong knowledge of quality control techniques/procedures
Perform other duties or special projects as required
Client Onboarding and/or documentation analysis experience strongly preferred
Proven success at collaborating across lines of business to resolve issues, improve efficiency, and foster clear communication channels

154

Wealth Management Resume Examples & Samples

To provide secretarial and administrative support to the PB Asia marketing and events teams including flight and hotel bookings, room reservations, diary management, set up new hires to the teams and manage departures
To be responsible for collating and maintaining all marketing and events processes and ensuring the logging of all Legal and Compliance approvals
To coordinate relationships with vendors
To manage the inventory of marketing and event materials
To coordinate marketing projects such as reading lists and client gifts including vendor management, order collation and verification and shipping
To coordinate the agenda for the monthly Marketing and Events meetings
To manage the RSVP process for events and road shows
To undertake event administration including preparation of name badges, menu cards, shipping of stationery etc.and unpack all materials which are returned to the office post event
To provide onsite support for events where needed
To be responsible for the timely processing of all invoices, answer vendor queries and liaise with US team for relevant approvals
Process T&E claims
When necessary, to provide support to other team administrators
Solid educational qualifications
Proficient in Microsoft office with excellent PPTX and Excel skills
Excellent project management, problem-solving and time management skills
Can-do and enthusiastic attitude and the desire to get involved
Ability to juggle multiple projects and to prioritize work
Team player who will take the initiative
Excellent Communicator
Prior team administrative roles with a proven track record
Exposure to either private banking or the luxury sector
Mandarin language preferable
Excellent Microsoft office skills, including Word, PowerPoint and Excel

155

Wealth Management Resume Examples & Samples

Coordinate preparation of tax solicitation as well as collection and processing of tax documentation
Participate in Service-related projects/priorities as needed
Assist with research, follow-up and issue resolution through effective interaction with CSAs and operations teams in a timely and professional manner
Manage daily transactions and inquiries accurately, within established deadlines and in accordance with firm and business policies and procedures
Management and follow through on Service requests, including composition of credit reference letters, account maintenance activities for credit and debit card products and annual service fee administration, as directed by the CSA teams
Escalation of issues for any urgent matters or assistance
1-3 years experience in the Financial Services and/or Private Banking industry
BA/BS preferred or equivalent work experience
Highly organized, attentive to details, excellent follow up habits
Effective communicator (both orally and written)
Ability to work effectively as a member of a team with the ability to work well with multiple CSA teams and other team members
High level of personal initiative, and ability to perform effectively in a fast-paced environment with rapidly changing business priorities

156

Wealth Management Resume Examples & Samples

Deep understanding of Fixed Income markets across High Yield, IG Credit, Preferred Stock, Treasuries, Agencies, Emerging Market debt, etc
Ability to interact with a wide range of investor and client sophistication
Must have strong executive presence and excellent communications skills
Mandarin speaking is a plus
At least 5 years of experience as a fixed income client portfolio manager or fund sales and marketing
Strong knowledge of portfolio construction and allocation process

157

Wealth Management Resume Examples & Samples

Strategy and roadmap development for both a digital advice and online trading offering
Developing business cases to evaluate viability of work, size of effort and revenue contribution/cost savings or avoidance
Business leadership, driving both digital advice and online trading, to delivery in close partnership with technology
Seeking input from and alignment with key stakeholders, especially our digital product, digital technology, and client-facing teams
Building team to execute on priorities
15+ years of experience in financial services, preferably with experience in wealth management, a private bank, or a closely related financial services organization
Experience supporting a digital onboarding, trading and automated advice offering
Experience evaluating vendor offerings, conducting build, buy or partner analyses, negotiating with vendors, and managing long-term vendor relationships
Deep knowledge of trading mechanics, market data and financial instruments
Series 7 and 24 licenses preferred

158

Wealth Management Resume Examples & Samples

Provide investment expertise to existing and prospective clients, as well as identify new business opportunities
Contribute to pursuit of high quality prospective client opportunities
Lead events for existing and prospective clients, particularly focused on investment topics
Prepare presentation materials, client proposals/reports, and briefings drawing upon the junior resources of the GIO team and the wider JPM organization
Perform portfolio evaluation and analyses
Conduct industry and product research
Work together with other teams in meeting all compliance, regulatory, risk management, operational, and due diligence requirements and compliance with internal policies
Candidate must possess strong drive, initiative and be able to work independently
Must be adaptable and able to work in a stressful and demanding environment
Fluent in English and Mandarin and/or Cantonese
Good presentation and writing skills
Knowledge of investment products - minimum 8-10 years experience, ideally in institutional trading and research or similar investment experience
Strong understanding of the needs and sensitivities of clients (private individuals and families) in North Asia
In-depth knowledge of local regulatory policies and guidelines

159

Wealth Management Resume Examples & Samples

Lead projects related to middle office/operations and technology for the Private Banking Middle Office including organizational and process analysis, and new product and technology initiatives
Coordinate with various areas of Operations, Middle Office, Finance, Technology and Senior Management to build business requirements, procedures and processes
Partner with technology product leadership teams to create strategic solutions to oversee new products and develop enhanced tools
Create and maintain project plans; regularly follow up on open items with the business and technology; tracks items to completion
Critical thinking and decision making throughout the project lifecycle
Produce high level project summaries/dashboards, presentations, and updates for senior management and stakeholders
Act as a key advisor to the senior stakeholders on the project to achieve goals and overcome obstacles
Develop future state operating models and leads the organizational change management activities
Be able to work independently, but keep management informed of progress / issues
Lead/participate in meetings at the operational and project level with management and project sponsors to discuss strategy and relevant supporting details
Responsible for project team execution of all project deliverables (requirements, design, etc.)
Effectively manage scope of projects and the expectation of project stakeholders
7-10 years overall experience with 5-7 years being in Financial Services are preferred (experience within Private Banking, Investment Management, or Brokerage/IB is a big plus)
Ability to work in a high paced environment, be flexible, follow tight deadlines, organize and prioritize work
Superior organizational and planning skills; Ability to take a project from inception to completion
Demonstrated track record of outstanding team building, leadership, project management and problem solving skills
Ability to analyze and resolve project-related issues and follow through with set objectives
Excellent understanding and hands on experience with project management methodologies
Experience managing projects related to banking and/or broker-dealer regulations and risk management
Intermediate to advanced Microsoft Word, Excel, as well as Microsoft Project or other project management software experience
Advanced executive level presentation authoring using PowerPoint
May manage other project managers either directly or indirectly
FINRA Series 99 required within 120 days
PMP is a plus

160

Wealth Management Resume Examples & Samples

Aggregation and review of monthly financial outlook estimates across various income statement categories; systemically upload and communicate results during the month-end close
Produce and enhance division-wide reporting and associated MIS; ability to utilize information to create presentations for senior management consumption
Create and maintain market packages for Regional Directors representing 18 locations and 450 Financial Advisors across the United States; assume advisory role to assist each in running a successful business
Assist with analysis and allocation of indirect expenses to underlying branches based on fair usage (e.g., trade support, technology)
Develop business expertise on Credit & Deposit product offerings, fee-based annuities and transactional activities
Contribute to fiscal and multi-year plan cycles across all relevant revenue, expense and headcount items
Prepare reporting for monthly management business reviews to discuss business trends, opportunities or risks; act as partner to assist with key initiatives (e.g., new product analytics, client penetration rates)
Identify repetitive control breaks; work with partners in technology, product control, operations, commission accounting and finance to remediate tactically or via automation; standardize reporting to reduce errors and increase time spent on business analysis
Bachelor’s degree in Business Administration with a preferred concentration in accounting, finance or MIS
3-5 years of relevant experience in a planning and analysis or product control role; securities experience preferred
Demonstrated experience interacting with core accounting and MIS reporting architecture; SAP and Hyperion Essbase are both strongly preferred
Intermediate-to-advanced data aggregation, model creation and process enhancement skills
Advanced Microsoft Excel skills. The minimum proven skill set should include: vlookups, pivot tables, conditional formatting, if-statements, goal seek/solver. Experience with VBA/macros is a plus
Intermediate Microsoft PowerPoint skills (tables, charts and simple transitions)
Superior oral and written presentation skills with the ability to communicate effectively with senior management as and various functional groups within the division

161

Wealth Management 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
Build excellent working relationships with internal clients
Ability to learn proprietary software and databases

162

Wealth Management Resume Examples & Samples

Conduct investment reviews with prospects and clients to determine or validate current investment objectives and prepare alternatives of appropriate investment products
Develop (Investors don’t know what this is), advise on asset allocation and manage clients’ investment portfolio
Maintain current knowledge of all J.P. Morgan Private Bank solutions and strategies
Build and maintain excellent working relationships with internal partners and teammates
Prepare and maintain DDRs as requested by our internal policies and procedures
Attend GWM Morning Meetings
Input all call memos and pipeline information on a daily basis into Client Connect
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
Extensive experience in wealth management including, but not limited to: credit, deposits, trusts and financial planning

163

Wealth Management Resume Examples & Samples

Review account opening documentation against the client onboarding tool to ensure accuracy
Partner with the client facing teams to review required Account Opening information and legal documentation to meet all regulatory and internal polices
Act as a subject matter expert on required legal documents and process to onboard client to PB platforms
Ensure Account Opening information is accurate and will meet Quality Standards of clients’ records prior to submission
Act as a subject matter resource on the Account Opening policies and procedures
Discuss and escalate with Risk & Controls complex issues surrounding client types and structures, financial products and services, and other Account Opening risk-related issues
Experience in AML / KYC and/or Account Opening required

164

Wealth Management Resume Examples & Samples

Interface with client service and bankers/advisors to understand the nuances of various clients and their banking relationships
Use a high level of client service skills in order to defuse potentially difficult and/or upset customers and complex issues
Work proactively with clients via phone / e-mail to understand fraud situations and readily identify the various actions that need to be completed to amend the situation
Resolve client issues with a high sense of urgency by partnering with employees and teams in multiple areas of JPMorgan Chase
Ability to navigate internal systems to facilitate various requests
Proactively monitor accounts and perform follow-up duties, including the claims process
Ensure that regulatory, legal, bank and audit requirements are met
Accurately report details of all fraud cases
Preferred – Bachelors Degree or equivalent experience and at least two years of customer service or operations experience, primarily in the banking or financial service industry
Preferred – Fraud experience
Preferred but not required – Spanish Speaking
An evidenced and accomplished history of independent problem solving work
Excellent oral and written communications skills
Ability to organize/manage multiple client cases simultaneously and work under pressure in a team environment
Maintains composure and confidence in stressful situations
Command strong ability to use various bank systems & the Microsoft Suite
Flexibility to work outside of normal business hours as required by business needs

165

Wealth Management Resume Examples & Samples

Risk & Controls– Ensuring robust and consistent controls and operating procedures are in place and adhered to and that the team fully meets operating standards, compliance, risk and regulatory requirements. The Senior CSA will serve as the first level of escalation
Market Partnership –effectively collaborate and build relationships with respective client facing teams and internal business groups to deliver and execute client transactions as well as attend client/prospect meetings
Business Development - review and identify potential business opportunities for clients to engage in additional products and services
Leadership– strategically impact the Client Service function and team as subject matter expert and advocate for change
Minimum 3 years of financial services experience
College degree or equivalent service experience preferred
Demonstrate passion for delivering exceptional client service
Ability to handle complex and challenging situations

166

Wealth Management Resume Examples & Samples

Support/Manage all aspects of client relationship, develop and maintain long-term relationships through strong personal networks and contacts
For a selected portfolio of clients, take over the relationships and operate in a banker and investor capacity
Articulate and deliver strategic messages to their portfolio, prepare presentations and proposals, and send out various proposal items to clients
Update clients regularly on markets, portfolio performance, investments opportunities, risks
Partner with the client including (but not limited to) updating KYC information, client suitability profile, conducting client meetings, monitoring asset transfer and handling client ad-hoc queries
Collaborate with the other integrated team members to provide a high quality of client service
Keeping track of Clients, AUMs and Revenues using our internal systems; periodic calculation of account performance
Regularly review with UHNW bankers their books of clients and identify Advisor Led relationships
Minimum 3 years' experience in the Financial Services and/or Banking industry
Client Service background is a plus
Ideally understand (or be able to quickly develop) working knowledge of the key regulatory and control environments that are relevant to the team and be able to manage the accounts accordingly
Proven client management skills and effective but diplomatic communicator (both orally and in writing) who can positively engage and influence clients as well as internal stakeholders
Operate with a high level of integrity and risk awareness
Must be a team player and able to work with different business functions across the bank
As the role is an important contributor to the strategy of JPM, comfort and experience working with and reporting to senior management is required
Fluency in English mandatory, Cantonese and/or Mandarin a distinct advantage

167

Wealth Management Resume Examples & Samples

Analysis of monthly financial results and investigating variances
Responds to financial inquiries by gathering, analysing, summarizing and interpreting data
Provides financial advice by studying operational issues, applying financial principles and practices and ultimately, develops recommendations
Prepares monthly and quarterly regulatory reports and reconciles the data back to the financial systems for completeness, whenever feasible
Partners with relevant functions to correct inaccurate data that may be transmitted to the general ledger
Participates in local projects, coordinating information requirements across Wealth Management functions and other internal LOBs
Increases productivity by leading the team in developing automated processes and financial system queries
Involves in the roll out of new initiatives/products and support the business in the New Business Initiative Approval (NBIA) process
Reviews accounting treatment for new initiatives or any updates to accounting standards, engaging with Corporate Accounting Policy group whenever necessary
Support the Asia Wealth Management Finance Controller by participating in global and regional projects, working with Finance Project teams in North America and EMEA to ensure Asia requirements are considered and consistency is achieved
4 – 7 years of working experience in Finance related areas
Positive attitude with an open mindset
Details-oriented and deadline conscious
Knowledge in Olympic Banking System, Oracle Financial System, SAP
Product accounting knowledge in over-the-counter (OTC) derivative products
Project management skills involving issues tracking and problem resolution
Experience working with different functions across different regions and Businesses is an advantage

168

Wealth Management Resume Examples & Samples

Serves as contact for Senior Advisors' client service inquiries and account activities
Monitors clients' investment portfolios to provide updates and progress reporting, rebalancing of asset allocation model and implementation
Prepares reports and paperwork for Senior Advisors for client review meetings
Uses various tools to research and provide investment portfolio analysis
Assists Senior Advisors with the development of comprehensive financial plan for clients to identify opportunities and make recommendations, selecting appropriate investment strategy compatible with the client's goals, risk tolerance, time horizon and expected rate of return
Tracks business activity - maintains client relationship notes
Develops and facilitates best practices and assists in monitoring and satisfying compliance requirements
3 or more years direct experience with operational and client support functions within an investment management/advisory, broker dealer or similar financial services environment
Demonstrated advanced Microsoft Office proficiency
Demonstrated client service skills including presentation skills
Self-motivated and possess a sense of urgency
Strong ethical and professional standards
Flexibility, adaptability and strong team orientation
Series 65 licensing would be beneficial

169

Wealth Management Resume Examples & Samples

Work closely with key business stakeholders, including but not limited to business and operational teams, Legal, Compliance, Business Management, Oversight & Control, Audit, Business Initiative Leaders, project teams and Technology on fulfilling responsibilities of the Client Onboarding Risk and Controls team
Define control agenda and business strategy; monitor and track risk and control priorities, and roadmap
Developing process flows for strategic initiatives and assisting in the development of operating models
Researching and documenting current state processes and applying appropriate changes to support business requests/needs
Conduct GAP analysis; identify key areas of risk or concern and impact to the business
Implement and support a plan to achieve the operational risk management goals of the business, including monitoring and reporting requirements
Communicating issues effectively through project implementation
Assist with anomalies identified in control reports requiring action
Facilitate meetings; prepare documentation, and meeting minutes, as necessary
Actively engaging in project requirement meetings; influencing requirements through analysis; providing thoughtful input to ensure business needs are met; identifying and documenting project gaps, impacts, and risks
Escalating project issues and risks appropriately
Managing work streams, small projects and other program initiatives with moderate to low supervision
Document and write business project plans
Create and support various management reporting tools, including scorecards, weekly executive summaries, and other executive reporting needs
Communication management – develop monthly business review, presentations for senior audiences, content for Town Hall meetings, and communication plans for stakeholder engagement
5+ years of experience in financial services/banking industry, with a demonstrated track-record of delivery and/or relevant experience in risk management, Compliance/AML and KYC subject matter required
Experience with facilitating meetings among stakeholders on various levels within the organization
Experience in creating executive level reporting
Demonstrated experience with strategic planning
Analytical and review skills with the capacity to think laterally and convey an understanding of the big picture and draw the correct conclusions from reviews
Ability to self-develop and independently problem solve under strict deadlines
Proactive, strong attention to details
Ability to communicate clearly and confidently, able to influence internal and external stakeholders
Maintain a sense of urgency and ability to prioritize and multi-task

170

Wealth Management Resume Examples & Samples

Provide basic client management
Prepare and review prospect/banking products pitches
Validate source of wealth of clients
Periodic updating of client backgrounds
Client invitation/nominations for events
Account opening approval coordination
Client applications for investment programs
Daily account administration: unblocking of accounts, setting up credit lines
Minimum 1-2 years industry related experience preferred
Fluent written and spoken English and Chinese

171

Wealth Management Resume Examples & Samples

1) Set-up meetings, create and distribute agendas, take minutes, coordinate logistics for meetings, and complete various presentations for project and Sr. Management as directed by manager
2) Analyze and synthesize information from multiple sources to create solutions and define next steps with milestones, dates, and owners
3) Complete recurring reporting for manager and projects on a daily, weekly, bi-weekly or monthly basis proactively and with accuracy
4) Create and maintain the project plan tracker and weekly summaries and distribute to working group, acting as the “details master” of the projects
5) Take ownership of assignment work-streams to define operating models or requirements and syndicate with working group
6) Ensure consistent syndication of information with working group domestically and globally
1) Detail Oriented with intense focus on accuracy
2) Superior Note Taking
3) Ability to manage complexity, multi-task and deliver solutions to a tight deadline
4) Strong Data Analytical skills
5) Ability to deliver quickly with minimal manager direction
6) Proficient in MS VISIO, Excel and Powerpoint Presentations
7) Strong work-ethic with preference and composure for intense project management and operating in a fast paced environment
8) Strong interpersonal relationship and partnership skills
9) Thoughtful approach and ability to create and validate new solutions
1) Successful track record in P&P rotations focused on quality results and successful execution
2) Experience in developing and creating effective presentations for very senior levels of the firm

172

Wealth Management Resume Examples & Samples

Work with the Market Manager of the Greater China team to execute business strategy in different areas such as sales management, risk controls, events, and firm-wide initiatives
Connect with Integrated Team Members on priorities and implement important business initiatives
Establish strong working relationships with all business partners throughout the Private Banking organization - across functions and geographies
Organize, set agenda and prepare materials for the team management meetings, leadership events etc
Assist with budget and financial planning including staff and headcount planning for the Greater China team

173

Wealth Management Resume Examples & Samples

Understanding of market risks from a pricing and execution perspective. Efficiency and accuracy in pricing various trade strategies
Strong options background
Beneficial if candidate can speak Mandarin and/or Cantonese in addition to English

174

Wealth Management Resume Examples & Samples

Developing and supporting project plans including updates for management
Managing project workstreams and all associated activities to support the global implementation of the program: create process flows, business requirements, and status reporting for various workstreams across the program
Partnering with key stakeholder in the Private Bank to develop, review and maintain procedures for front office, control and support functions
Identifying training needs within the organization and partnering with Learning & Development to develop and deliver the training programs for front office, control and support functions
Working with Legal, Compliance & Risk Management to identify and address areas of risk & regulatory exposure
Supporting the Program team to implement business solutions, measuring the effectiveness of the solution and identifying ways to improves processes and products
Ability to engage with various parties to discuss implications of new regulatory requirements and business impact

175

Wealth Management Resume Examples & Samples

Partner with the Senior Marketing Manager in executing marketing programs to launch new portfolios and reposition existing ones to Private Bank prospects and clients
Establish strategy / framework to provide end-to-end product marketing support, from launch to run rate, in partnership with portfolio management, investor relations, compliance and technology
Develop tools to support client conversations on Managed Solutions & Strategy capabilities, including direct-to-client digital programs, product launch materials such as launch emails, profiles, and PowerPoint presentations, as well other sales tools
Ability to build relationships with strong communication skills to influence stakeholders across a large, matrixed organization
Collaborate with partners across the organization including Creative Services, Digital Marketing, MSS IR, Legal and Compliance to ensure messaging and tools are consistent and deliver results
Strong writing, editing and presentation design skills
Strong interpersonal and communication skills, with an emphasis on attention to detail
Facility with Adobe, PowerPoint, Word and Excel
Must have 3-5 years of work experience in investments marketing or relevant investments-related business
Interest in marketing, communications or other business discipline

176

Wealth Management Resume Examples & Samples

Exceptional interpersonal, communication and analytical skills
Excellent organizational skills and ability to multitask
Superior analytical skills – both quantitative and qualitative
Ability to thrive in a collaborative work environment
Highly inquisitive, focused and pro-active
Good judgment and discretion when working with confidential information

177

Wealth Management Resume Examples & Samples

Pro-actively seek out detail of current tax and regulatory related matters as relevant in order to field questions from the CSS community
Responding to ad hoc queries on specific client structures and associated tax status / requirements and assist in the revision of internal tax form as needed
Serve as the escalation point for review of complex structures by providing the necessary guidance and/or obtaining this guidance from Tax Partners in the region
Partner with the Tax Operations Team to develop effective channels of communication between Client Service and Operations
Reinforce policy as needed to mitigate internal risks and meet new tax regulatory requirements
Assist the EMEA Client Service Training Team by delivering training and development of existing/new policies, guidelines, including changes in tax laws and documentation requirements which impact the day to day client servicing, including changes to tax forms, account coding and solicitation process
Keep current on tax rules and regulations (legislation, tax issues, etc.) through independent study, partnership with the US and EMEA Corporate Tax Teams, the EMEA Private Banking Tax Operations Team and contact with the Local Tax Authorities if required, with specific focus on the FATCA and QI rules
Relevant experience within a tax or financial services field
Strong knowledge of tax law and compliance across multiple jurisdictions, including the United States, Switzerland and the United Kingdom

178

Wealth Management Resume Examples & Samples

Acts as a primary contact with external clients for day to day account administration and servicing
Provides proactive personalized service including transaction processing/execution of cash products, assist client on cash flow management, inquiries, investigation handling, and account monitoring
Opens new accounts as instructed by clients, ensuring all necessary documentation is requested, received and approved for operations and obtain additional documentation from clients as per new regulatory requirement
Assists Bankers in arranging credit facility for client
Assists Bankers in preparation for client meetings and marketing trips, and post-meeting follow-up including execution of client instructions, preparation of product proposals and account opening
At least 5 years of solid Client Service / Relationship Manager support experience from Private Bank
Good working knowledge of all Private Banking products and the relevant operational aspects; understanding of the documentation, corporate action in related to securities and cash/securities settlement requirements
Good interpersonal skills to service and maintain clients and Bankers relationships
Knowledge of all relevant systems and software packages including e-mail, Excel, Adobe Acrobat and other information sources
Adaptable and able to work in a demanding and unpredictable environment, detail-oriented, think out of box, with market sense and result-oriented

179

Wealth Management Resume Examples & Samples

Job description
Topics of procedures vary, so a successful candidate must be able to work with business experts, absorb and comprehend large volumes of material, and then simplify into easy-to-follow steps so Client Service Teams can recognize the impact and easily and successfully apply the changes
Inquisitive and proactive in identifying risks and proposing solutions (tactical and strategic)
Communication skills: outstanding written and verbal communications and aptitude to influence all levels within the organization
Ability to work in a fast-paced, deadline-driven environment, with multiple tasks and projects
Relevant degree, qualification or certification considered a plus
Role to be located in Geneva, Edinburgh or London

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Wealth Management Resume Examples & Samples

Provide unbiased, customized wealth planning guidance to clients and prospective clients, based on deep client discovery and understanding
Work with advisors to develop business opportunities with new and existing clients
Develop and present GBWM materials and lead wealth transfer conversations in a compelling manner
Structure and present financial plans/presentations in a simple to understand conversational manner
Must be comfortable working with affluent and high net worth individuals/families, and have experience with financial planning, banking, investments, tax and wealth transfer strategies
Train and develop advisors to independently lead effective GBWM-related client engagements

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Wealth Management Resume Examples & Samples

Bachelor's degree or equivalent in Business Administration, Compliance, Controls or related field
1-2 years of experience in financial services, preferably in investment related roles. Experience in a risk and control function strongly preferred
Knowledge of regulatory requirements
Experience with operational risk analysis, process improvement, developing procedures
Experience with line of business applications knowledge a plus
Strong process analysis and improvement skills
Strong consulting and relationship building skills
Ability to effectively escalate and resolve issues
Meticulous attention to detail; highly organized
Flexibility; ability to adapt and respond quickly to change
Mastery of MS Office products and the use of SharePoint as a project repository
Recommended

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Wealth Management Resume Examples & Samples

Responsible for developing wealth management regional investment views across and within asset classes, as well as contributing to the development of discretionary and advisory strategies for UHNW clients in Asia Pacific
Monitor top-down and market developments across Asia time-zone assets and generate investment implications
Present at meetings and conduct conference calls for advisors and their clients on the economic and market outlook
Fluent in English, preferably in another language (Mandarin highly desirable)
Superb communications skills in both writing and presenting. Ability to communicate ideas with passion and clarity
Familiarity with software such as Bloomberg, FactSet, Reuters, etc. is preferable
Experience in Wealth Management industry preferable

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Wealth Management Resume Examples & Samples

Review and understand credit requests and evaluate credit approval details, loan documentation, and covenant requirements of loan transactions
Review and understand credit agreement terms after financial analysis and credit approval (review of Credit Approval Memorandums, in partnership with Credit Risk)
Analyze the credit transaction requirements and the entry of those requirements that will be systematically monitored and managed
Provide timely feedback regarding missing or inaccurate data elements for resolution
Partner closely with other Credit Middle Office Teams and Management to solution for accuracy
Prioritize reviews in a fast-paced production environment to meet expected turnaround timeframe
Manage initiatives to resolve control gaps and enhance current processes for further efficiency and effectiveness as needed

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Wealth Management Resume Examples & Samples

Working within a team to execute daily requests
Fee related activities (i.e fee waivers, fee invoices)
Verify and maintain data quality
Liaise and follow-up with internal teams for documentation and account maintenance issues
Take ownership of work and ensure data integrity, accuracy and completeness
Minimum High School Degree

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Wealth Management Resume Examples & Samples

Must hold or obtain Series 7 and 24 licenses for this position
Candidates that currently hold the Series 7must obtain the Series 24 within 90 days of hire date
Candidates that do not hold either the Series 7 or 24 must obtain both licenses with 120 days of hire date
Brokerage experience is preferred
Management experience is helpful
Bachelor’s Degree is preferred
Proven interpersonal, team-oriented skills
Exceptional customer service mentality
Able to organize/manage multiple priorities and projects coupled with the flexibility to quickly adapt to ever changing business needs and requirements
High attention to detail, excellent follow-through
Strong spreadsheet, database, and reporting skills. Experience with Access is preferred
Sound decision making and judgment in resolution of moderate to complex issues
Ability to communicate with department managers to facilitate operations

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Wealth Management Resume Examples & Samples

Perform quality review of underwriting, risk monitoring and portfolio reporting
Audit documentation in English, French and Italian
Provide general assistance to data owners and approvers
Interpret firm policies and compliance requirements for incorporation into company systems/procedures
Participate as required to meet schedules or resolve problems at peer level

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Wealth Management Resume Examples & Samples

Audit documentation in English, French, Spanish, and Italian
University graduate (preferably Law, or Finance) with some basic experience in dealing with credit documents, or mortgages
Fluency in English with French, Spanish, Italian also highly sought after
Experience within a financial institution (legal documentation, mortgages, or general bank lending/credit preferred)

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Wealth Management Resume Examples & Samples

Maintain knowledge of the investment solutions utilized throughout the Private Bank, including, mutual funds, exchange traded funds, structured notes, hedge funds, and separately managed accounts
Monitor accounts for model drift and strategy deviation across the fixed income, equity and alternatives asset classes and rebalance portfolios when required
Monitor investment vehicle selection and resulting exposures
Develop and maintain strong working relationships with internal clients
Maintain effective controls within the governance structure, to mitigate risks and ensure consistency

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Wealth Management Resume Examples & Samples

Market experience (advising clients on financial markets and financial instruments)
Superior marketing skills with the ability to translate complex ideas into simple, practical forms
Subtle, but effective sales skills
Communication style that will enhance credibility and create trust with clients; strong presentation skills
Ability to thrive in an internal culture that points to innovation, customer service, internal partnership and entrepreneurship
Team player capable of working effectively with many business partners
Capital markets or institutional brokerage experience
Preferred candidate should be fluent Spanish (if not bilingual) is a requirement
Time zone differences with the client base is another specificity

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Wealth Management Resume Examples & Samples

Lead the periodic Risk and Control Self Assessments (RCSA) testing performed in the business and assist with documentation, defining appropriate testing methodologies, and approvals
Evaluate the accuracy and completeness of the RCSA
Provide oversight and consultation on potential issues that arise with operations management, risk, compliance and products as necessary
Ensure operational practices are in compliance with relevant risk standards, policies and regulations to maintain an effective control environment
Manage small projects and partner with operations managers in internal and external audits
Interface with various internal groups including Risk, Compliance, Audit, Controllers, Product and Legal as necessary
Validate and review controls in light of key business projects, business changes and operational events such as Migrations, New Product, On-boarding/Off-boarding and System Implementations
Manage the addition and closure of FORCE Issues and Action Plans
Monitor weekly and monthly production risk metrics
Bachelor's degree or equivalent in Business Administration, Finance, Economics, Accounting or related field
5+ years of experience in financial services, preferably in credit or investment related roles
2+ Experience in a risk and control related function, with RCSA experience strongly preferred

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Wealth Management Resume Examples & Samples

Act as primary interface for Bankers ; responsible for managing expectations and enhancing the client experience
Set and manage the priority of all on-boarding requests through ongoing engagement with business , whilst proactively managing the on-boarding pipeline throughout all stages of the process
Analyze AML risks associated with the client from a technical perspective , identify and escalate potential risks and operational issues as appropriate
Knowledge of Private Banking industry
Strong interpersonal , analytical, problem solving , negotiating , influencing , facilitation , organizational , prioritization, decision-making , and conflict resolution skills
Excellent communication skills, fluent in English and local language ( written / verbal) as appropriate

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Wealth Management Resume Examples & Samples

Provide analytics and strategic analysis to senior management about the state of the business and future plans for growth
Work closely with the finance team to track progress against priorities, investment flows, etc
Assist with planning and execution of ad hoc large-scale projects across the business
Assist with strategic business improvement and market expansion projects
Prepare analysis and presentation materials for senior management forums
Partner closely with Market teams on region-wide initiatives and reporting
Two-year commitment to the team
Ability to manage multiple projects and deadlines simultaneously
Organized and good time management skills
Language skills – fluency in English required

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Wealth Management Resume Examples & Samples

Working in close partnership with Senior Investors and Private Bankers to assist them with providing investment expertise to existing and prospective clients, as well as in identifying new business opportunities
Prepare presentation materials, client proposals/reports
Perform portfolio evaluation and analysis
Knowledge of investment products
Strong understanding of the needs and sensitivities of clients

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Wealth Management Resume Examples & Samples

Partner with Credit Executives for portfolio reviews, risk exceptions and approval of annual credit reviews
Partner with Lines of Business to keep credit portfolio current on key risk metrics and facilitate new transactions on the assigned portfolio of clients
Quick learner: Proven ability to quickly learn the business & adapt to changing business priorities
Ability to be a dynamic member of a team

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Wealth Management Resume Examples & Samples

Requires FINRA Series 7 and 66 licenses
Prefer Series 4 and 24 licenses (required to obtain within 120 days of hire)
Must be willing to work in a Call Center environment
Prefer substantial knowledge of equity and option products, economic releases and their impact
Action oriented - should be motivated by challenging opportunities and thrive in fast paced environments
Composure - must be cool under pressure and in challenging situations and respond in a patient and professional manner
Decision quality - must make consistently good decisions using blend of knowledge, experience and analysis
Ethics and values - must act in accordance with an appropriate set of core beliefs and within JPMC's personal code of conduct
Compliance - must be able to work effectively within numerous internal and external rules, policies, and procedures in this highly regulated industry

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Wealth Management Resume Examples & Samples

Coordination and management of multiple mid- level projects or other process improvement initiatives, across Chase Wealth Management Operations
Leads project teams through project lifecycle from ideation to project execution, including the approval and demand management process, and ensures quality and timeliness of project completion
Establish the approach and define the necessary work activities (projects, BAU, etc.) to achieve project / program's mission & vision, directs activities, sets priorities, monitor & report progress, and address any project/ program-level risks and issues
Reviews root cause analysis and recommends solutions
Provide proactive communication with senior and/or Program management to understand needs, communicate status, and resolve conflict
Leads business analysis, process design and requirements development sessions
Develops and may deliver presentations
Understand strong controls and audit requirements; ensures project aligns with established practices
Demonstrated experience in leading cross functional projects and initiatives
3-5 years of project management experience
Bachelor’s degree, or equivalent work experiences
Strong leadership skills with proven ability to influence change and communicate with diverse stakeholders
Excellent relationship and communication skills, highly collaborative - can build rapport and credibility
Competent in use of industry standard Project Management tools
Makes decisions in a timely manner, sometimes with incomplete information and under tight timelines and pressure
Ability to assess situations and make appropriate, effective, timely project decisions
Sufficient understanding /subject matter expertise and preparedness of information to effectively communicate key messages across matrix project teams, IT or Business teams

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Wealth Management Resume Examples & Samples

Contribute to idea generation, vehicle selection, risk and performance analysis
Assist in day-to-day management of positions
Apply top-down and bottom-up investment insights to multi-asset class portfolios
Monitor markets to understand current drivers and market sentiment at the asset class and sub-asset class level
Analyze implementation vehicles including index, factor and actively-managed single-asset class funds
Collaborate with internal partners in investment solutions, due diligence, risk management, quantitative research, portfolio execution, compliance, and operations
Bachelors degree; advanced degree and/or CFA charter holder strongly preferred
10-15 years relevant work experience
Direct experience in management of or research generation for multi-asset class portfolios
Ability to thrive in a collaborative environment on a global team
Strong understanding of equity, fixed income, commodity and currency market drivers and characteristics
Dynamic approach to markets, but not overly short-term focused
Strong understanding of multi-asset portfolio construction and risk management
A doer’s mindset and a strong desire for the team to win

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Wealth Management Resume Examples & Samples

Analyse capital structures of clients; advise on appropriateness of structure vis-à-vis client's balance sheet, cash flow
Provide direct analysis, due diligence and credit presentation for existing and prospective clients
Approve credit transactions within authority and recommend risk ratings
Responsible for business development and revenue growth by leading the credit marketing effort for the integrated private bank team
Identifying new business opportunities /asking for referrals

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Wealth Management Resume Examples & Samples

Business-level fluency in English essential
French speaker
Strong interpersonal skills with the ability to work both independently and in team environment

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Wealth Management Resume Examples & Samples

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Serve as business liaison for Audits, Issue Validations, and Compliance Reviews
Serve as delivery manager for the Vendor Management Alternate Process consisting of: screening vendors to maintain compliance with alternate processes; providing monthly reporting; working closely with Third Party Oversight (TPO) team to facilitate requests and maintain compliance with current requirements; etc
Mentor and provide indirect oversight of junior staff on the team
Execute senior management reporting relating to quality assurance testing results
Work closely with other teams such as Risk, Compliance, Legal, Middle Office, and Operations re control-related matters and projects
Excellent verbal and written communication skills with an ability to present complex and sensitive issues to management in a persuasive manner
Excellent desktop application skills in Microsoft Word, Excel and PowerPoint
Minimum of 7-10 years of work experience in audit, control or risk management role with subject matter knowledge of private banking/wealth management
Bachelor's degree required; CPA a plus

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Wealth Management Resume Examples & Samples

Accountability for the Oversight and Control Team, which is responsible for
10+ years of controls related experience and experience managing a diversified team
Understanding of wealth management business including associated products, services, regulatory/control requirements

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Wealth Management Resume Examples & Samples

Prepare ad-hoc analyses for management meetings and strategic reviews (e.g., Operating Committee Review, Regional Business and Finance Townhall, Investor Day, etc.)
Assist in the production of the monthly Executive Management Report and Weekly Activity Report which provide senior management with detailed information on monthly financials, trends and business outlook to assist in key business decisions
Participate in the global annual planning process for revenues, flows and balances which involves financial modeling, coordinating and consolidating submissions from CFO teams as well as preparing management presentations
Contribute ideas around improving reporting capabilities and new projects
At least 2 - 4 years of experience in Finance, with prior Asset Management experience preferred but not required
Strong analytical and modeling skills – MS Excel proficiency working knowledge required, MS Access and Essbase a plus
Desire to learn the technical aspects of revenue reporting process and be able to trouble shoot
Ability to partner effectively with various constituents (e.g., Regional and Product CFO teams, MIS, Product Control, AWM P&A, etc.) and communicate effectively with emphasis on materiality and relevance
Highly motivated team player with positive attitude and focus on business issues

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Wealth Management Resume Examples & Samples

Excellent analytical and logical thinking to understand and analyze complex business processes
Ability to manage complexity, juggle multiple projects and deliver solutions to a tight deadline
Demonstrated ability in dealing with different stakeholder groups and driving the agenda
Excellent written and verbal communication skills; ability to articulate complex solutions
Strong organizational and prioritization skills, detail oriented and strong interpersonal skills
Be a team player who shows commitment and dedication, and can maintain a positive attitude and high level of performance on high profile/time-sensitive initiatives
Broad understanding of JPMorgan Asset & Wealth Management, and WM specifically
Experience using Microsoft Office, including Excel and PowerPoint
Experience with Essbase a plus
Excellent communication skills and poise giving presentations, especially to senior management
The ability to be a dynamic member of a team

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Wealth Management Resume Examples & Samples

Liaison with CFO and LEC Finance partners in the writing, maintaining, and reporting expense allocation rules and ensuring compliance with legal entity and regulatory guidelines
Manage monthly expense allocation process and annual budget planning and multi-year forecast deliverables
Assist in monthly close and executive management reporting deliverables
Conduct due diligence on the reasonability of forecasts and effectively communicate (both written and oral) variances & drivers to internal and external stakeholders
Work to improve the outlook and reporting process with various stakeholders across the team and WM
Assist in initiatives to continuously improve and automate current processes
3+ years experience (strong preference towards a Finance function)
MS Excel proficiency required with Essbase and SAPCO working knowledge a plus
Highly motivated with desire to learn about the business
Able to thrive while thinking clearly under pressure and tight deadlines
Strong communicator and team player with a positive attitude to partner with colleagues across the business

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Wealth Management Resume Examples & Samples

Work with the Global Coordinator to ensure consistency of supervisory practices and procedures
Regional subject matter expert supervisory responsibilities , regulatory requirements and internal policies and procedures
Frequent interaction and partnership with Market Managers, Country Managers, CEO of Latin America, and Regional Investment Practice Leader on supervisory aspects of the business
Escalation point for key business decisions related to procedures, policies and client issues
Leadership role for internal and external audits. Liaison with Compliance and control teams related to audit issues (identify root cause and suggest corrective action plans)
Ability to oversee the activities of other Supervisory professionals
Proven ability to get organized and to multi-task effectively with strong decision-making skills
Strong team player, comfortable and effective when working as part of a global team and sharing knowledge with others
Solid knowledge of all investment products including (PE, Hedge Funds Structured Notes, Exchange and OTC Options)
Familiarity with Dodd Frank and Volker Rule requirements
Able to effectively interact with practice partners and all levels of management
Ability to build relationships across business functions and a matrix organization

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Wealth Management Resume Examples & Samples

Conceive, write, edit and provide editorial oversight of timely, relevant financial content, supporting strategic ideas and themes and business goals, including
Minimum 5 years’ experience writing and editing digital editorial or content marketing for digital publishing formats
Experience in business writing and editing (finance and banking a plus)
Passion for understanding complex financial information on a sharp learning curve
Self-motivation to take initiative instead of waiting for instruction
Outstanding editorial skills (writing, editing and analysis)
Experience editing content for scope, flow, style and tone guidelines
Experience conceiving and writing content for other formats and asset types, including social media, video, audio, infographics, and live events
B.A./B.S. degree

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Wealth Management Resume Examples & Samples

1) Take ownership of work-streams to define operating models or requirements and syndicate with working group
4) Ensure consistent syndication of information with working group domestically and globally
5) Become the SME on the work stream’s subject matter
6) Manage the work stream to closure
7) Establishing and adhering to a fully auditable framework aimed at maintaining a standardized process for the program
1) Both project management and business analyst skills
2) Detail Oriented with intense focus on accuracy
4) Ability to deliver quickly with minimal manager direction – take ownership and work independently
5) Strong work-ethic with composure for intense project management and operating in a fast paced environment
6) Strong interpersonal relationship and partnership skills
7) Thoughtful approach and ability to create and validate new solutions
1) Successful track record for completing projects under tight deadlines

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Wealth Management Resume Examples & Samples

The candidate is responsible for leading a small team to deliver digital integration initiatives to improve client experience and enhance our digital offering. Including: Drive the end-to-end implementation of digital capabilities to create a robust digital offering in partnering closely with process owners, business and digital product managers, technology, pilot testers, functional areas, and customer experience/design teams
Develop and implement organizational processes in partnership with senior management and cross-functional teams to support the acquisition and servicing of clients through digital channels
Collaborate with Digital Product Managers and business partners to create and deliver a thoughtful and compelling end-to-end client experience
Engage internal partners to discover, understand and solve for operational and business challenges of launching new products
Build awareness of new product launches and impending business implications by crafting and delivering thoughtful communications and comprehensive training
Identify weaknesses, gaps and opportunities for improvement and report findings in a simple, intuitive way to transform and change the status quo by influencing business stakeholders at all levels
Enable team members to own and drive bodies of work by providing direction and development as a player/coach
7-10 years of experience in strategic consulting, management consulting, project management, process improvement, business re-engineering
3-5 years of experience working in financial services, preferably in wealth management
Highly energetic self-starter with a relentless focus on execution, thoughtful analysis, and a bias toward action
Willingness to roll up your sleeves and do whatever is necessary; manager/ owner mentality with an entrepreneurial drive and demonstrated ability to have fun and inspire teams
Excellent verbal and written communication and ability to effectively listen to and communicate with technical and non-technical partners
Passionate about generating big, creative ideas for digital wealth, growing the business and building innovative products
Outstanding ability to build relationships and work collaboratively in a team environment to resolve issues under tight deadlines with calmness and poise under pressure

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Wealth Management Resume Examples & Samples

Managing the testing team (onshore and offshore)
Ensuring all testing requirements are met within the established timelines
Managing defects remediation and ensuring all documentation is saved in the appropriate repository
Ensuring all defects and workarounds are documented and communicated to production teams before being introduced in the production environment
Analyzing existing testing processes and making recommendations for improvements
Track testing deliverables and report status of deliverables to Sr. management
Effectively communicate of testing status to Sr. Management and PBIT partners
Liaise with project stakeholders on an ongoing basis
Proven ability as a self-starter, detail-oriented, well organized, strong decision-making skills and able to multi-task effectively
Ability to conceptualize and quickly understand new processes
2 Years in a UAT Testing Supervisory role - required

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Wealth Management Resume Examples & Samples

Lead and manage an existing team of independent multi-disciplinary specialists
Hire and onboard additional resources to support existing specialists
Design, staff, and launch new practices that are of interest to our clients
Partner with internal stakeholders to develop and execute an integrated, multi-channel strategy and agenda for delivering Advice Lab thought leadership
Focus the team on relevant research, content and engagement opportunities that will provide insights to deepen client relationships while leveraging advice
Collaborate with partners in Marketing and the front office to build awareness of Advice Lab offerings through the designing, packaging, and distribution of insights and content on channel and region-specific basis
Represent Advice Lab both internally with Advisors and externally in client, prospect, centers-of-influence, and industry events
Build and maintain strong relationships with key internal and external partners and stakeholders including e.g., the Investments team, Wealth Advisory, Credit, Risk, Compliance, Legal, and Marketing
Support the identification of product gaps and develop solutions to address them
Establish appropriate governance, leadership and resources around all aspects of running the group
10-15+ years of experience in a comparable, senior leadership role
Exceptional leadership and people development skills with proven experience in managing a multi-disciplinary team of independent specialists across geographies and varying levels of seniority
Significant experience consuming and translating complex ideas into relevant and meaningful communications
Understanding and appreciation for fiduciary products and services
Strategic thinker with ability to drive results
Exceptional communication, presentation, influencing and negotiation skills with the ability to establish and communicate the strategic vision to all levels
Proven ability to develop collaborative relationships with internal business partners, senior stakeholders and external clients, fostering partnerships quickly
Experience in effectively networking with centers-of-influence / multipliers
Background with some experience in academia and Marketing or Corporate Communications an advantage
Bachelors degree required; advanced degree strongly preferred

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Wealth Management Resume Examples & Samples

Direct experience in portfolio management, preferably within a multi-asset framework
Deep knowledge of global financial markets, investments, and portfolio theory
Strong understanding of equity, fixed income, commodity and currency markets, their key drivers, and their characteristics in a portfolio context
Experience developing and pitching trade ideas, preferably across asset classes, regions, and currencies
Must thrive in a collaborative environment on a globally diffuse team, and be able to creatively drive innovation
Strong communications skills - must be comfortable presenting in various forums including global morning calls, client meetings, and in front of key senior investment and management personnel
Proficiency with Excel and Bloomberg
Strong technical skills, preferably including at least a few of the following: Python, Factset, Barra, Visual Basic, Matlab, SQL, Morningstar Direct
Working knowledge of (and preferably applied experience with) probability, statistics, portfolio optimization, regression modeling, and Monte Carlo with an emphasis on real world implementation
Fluency in English and Spanish, preferred. Fluency in Portuguese considered a plus
5 - 10 years of investment experience
Advanced degrees and designations preferable - MBA / PhD / CFA / FRM

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Wealth Management Resume Examples & Samples

Prefer 1+ years of financial services operations experience. Preferably with experience in roles that require reviewing documents and following workflow processes
Must have interest and experience consulting with internal and external clients
Familiarity with Microsoft Outlook email and Excel spreadsheets required
Ability to prioritize with minimal supervision
Must have patience and empathy
Must have strong problem solving skills

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Wealth Management Resume Examples & Samples

Build trust and effectively manage relationships with clients by thoroughly understanding their needs, providing advice and delivering appropriate products and services
Coordinate with internal specialists (e.g. investments, credit/lending, trust & estate) to provide interdisciplinary expertise to clients
Ensure that proposed products and services fulfill clients' needs and objectives in the short, medium and long term
Faithfully adhere to all risk and control policies, regulatory guidelines and security measures
Drive business results through revenue and asset growth, new client acquisition and growth of existing client relationships
Build partnership with peers, specialists, support teams and junior staff
Proven sales success including: new client acquisition, building and sourcing referrals from network of intermediaries (e.g. accountants and attorneys), growing existing client relationships
Demonstrated understanding of investments, banking and planning concepts including: asset allocation/portfolio construction, equities and fixed income trading, credit/lending, basic trust and estate solutions, retirement planning
Coachable professional with business acumen, curiosity and a dynamic personality

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Wealth Management Resume Examples & Samples

Assist in developing a commercial strategy for each underlying business unit and the practice as a whole
Act as strategic partner to senior management, offering insight, challenge and a view of how to best integrate and align the team within Wealth Management
Help manage the organizational change required to bring together and align similar functions
Develop appropriate metrics to manage the performance of individual contributors
Assist is developing an approach to a coherent and organized publishing/marketing strategy for the intellectual content produced within the practice
Help manage the day-to-day activities performed within the practice
At least 6 years financial services experience, preferably in wealth management
Experience with implementing organizational change
Proven record of delivery of initiatives
Experience in effectively messaging priorities, initiatives and updates to senior management
Experience managing others, directly or indirectly
Proficient to advanced experience with Excel, PowerPoint and Word

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Wealth Management Resume Examples & Samples

Client Engagement – provide exceptional client service and execution on client requests, inquiries and transactions such as money movement, security transfers, and loan transactions
Partnership – effectively engage with client facing teams and internal business groups to deliver and execute client transactions
Risk & Controls – adhere to and maintain the firm’s controls policies and procedures and FINRA regulations as well as protecting client assets against potential fraud activities
FINRA Series 7 and 63 licenses required for the position: must be obtained within 120 days of hire
College degree or equivalent experience preferred
Previous client service or call center experience preferred, preferably in a financial services environment
Experience with financial products preferred
Ability to work collaboratively both internally and with external clients

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Wealth Management Resume Examples & Samples

Build strong relationships with internal partners including Bankers, Investors, Capital Advisors and Credit Executives as well as other CLT & Credit Operations’ global colleagues
Manage a diverse team of lenders and analysts with responsibility for multiple markets
Oversee and drive global & local initiatives and projects; those relevant to the Edinburgh site and the Credit business
Review, renew and approve lines of credit for our clients whilst ensuring adherence to policy, tax and cross border implications are considered, appropriate KYC and accurate creation of credit documentation
Maintain a consistently high level of awareness around any potential credit issues. Proactively resolve exceptions, including margin shortfalls, past due principal/interest and documentation exceptions
Articulate the risk vs. reward proposition when negotiating loan rates, employing a discipline around loan pricing and structure
Review credit memos to ensure clarity of the proposed credit structure including accurate risk rating assessments and any notable risk issues e.g. collateral concentrations
Partner Client Services and other colleagues to ensure closure of all relevant open items and transactional issues
Manage all new credit requests and annual reviews to ensure they are completed in a timely fashion
A Business, Finance or Mathematics bachelor’s degree/qualification
Credit risk and/or lending experience
Clear understanding of financial markets and securities industry
Knowledge and experience of systems such as Bloomberg is advantageous
Good organizational skills and ability to lead teams

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Wealth Management Resume Examples & Samples

Create programs that attract and engage hard-to-reach prospects and clients, leveraging cross-line of-business relationships and data
Develop partnerships and very close working relationships with the regional event team and local business managers
Assist in the execution of events and sponsorships – create invitations, pre and post-event banker communications, sponsorship ads and submit materials for compliance approval
Represent marketing at weekly regional and market leadership meetings and give presentations when appropriate
Utilize market knowledge to represent the regional perspective in Marketing’s planning processes, as well as educate market managers and bankers on regional and national priorities
Manage multiple projects and priorities in a fast-paced environment. The role requires strong listening skills and the ability to work collectively to create solutions in a dynamic environment. Sense of urgency and strong follow up skills are expected
Work closely with the other Regional Marketing Strategists to develop consistency and best practices among regions. Foster an environment of problem-solving, collaboration, creativity, support, coaching, consulting, partnership
Develop effective partnerships with colleagues in other areas of Global Marketing (Creative Services, Digital Marketing, Global Practices and Solutions, Client Engagement, PR, Client Analytics)
Bachelor’s Degree with 10+ years of marketing, communications sales and/or event management experience
Strong relationship development and negotiating skills and ability to work across multiple lines of business and make decisions in conjunction with other departments
Ability to learn operations and sales tools, products, policies and procedures
Proven record in problem solving and business innovation. Ability to thrive in dynamic fast-paced environments
Ability to identify new opportunities for growth
30% travel required

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Wealth Management Resume Examples & Samples

Marketing strategy development and project management; driving key marketing initiatives
Bachelor’s degree or higher with 10+ years of experience in marketing and/or communications discipline
Executive presence to represent Marketing organization with senior business partners
Proven experience in meeting deadlines and exceeding expectations with ability to perform well in a deadline-driven, fast-paced environment
Ability to drive to the right conclusions and outcomes with partners at any level of the organization, from very junior to very senior
Superior project management skills; extreme attention to detail and accuracy is required with strong organizational and problem-solving skills
High proficiency in Microsoft Office Suite (Excel, PowerPoint, Word, Outlook)
Fluency in Spanish and/or Portuguese preferred

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Wealth Management Resume Examples & Samples

Manage and maintain relationships with clients by earning trust, thoroughly understanding client needs, providing targeted advice, developing thoughtful solutions and delivering an exceptional client experience
Drive business results and acquire new assets, both from existing client base and new client acquisition
Advise clients on their overall balance sheet, including asset allocation, investment management, wealth planning, credit and banking needs
Partner with internal specialists to provide interdisciplinary expertise to clients when needed
Connect your clients across all lines of business of J.P. Morgan Chase & Co
Ensure that proposed solutions fulfill clients' needs and objectives in the short, medium and long term through a holistic goals based planning approach
Strictly adhere to all risk and control policies, regulatory guidelines and security measure
Energetic and entrepreneurial business builder who thrives and excels in a competitive industry
Proactive, takes initiative, and uses critical thinking to solve problems
Focuses on the client experience and works tirelessly on the client’s behalf
Proven sales success and strong business acumen
Dynamic and credible professional who communicates with clarity and has exceptional presentation skills
Demonstrates strong organizational skills and applies a disciplined and organized approach throughout their business
Strong community presence with an established network
Experience or demonstrated understanding of investments, wealth planning, credit and banking concepts
Experience with and in-depth knowledge of the equity and fixed income markets and alternative investments, including Hedge Funds, Private Equity and Real Estate

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Wealth Management Resume Examples & Samples

Create and modify SharePoint sites using lists, sub-sites, libraries, web pages, content types, views, custom HTML or approved-JavaScript elements, SharePoint Developer
Develop new and maintain/improve existing InfoPath forms
Manage permissions using SharePoint groups
Create basic SQL scripts for reporting
Develop Excel, SSRS, QlikView based reporting
Be a self-starter and open to learning new technologies
Ability to work with Technology Partners and other stakeholders
Follow all quality assurance processes, including periodic reviews and transitions and ensures the end product fulfills the project objectives
Prepare Training Material and User Manuals
3+ years of SharePoint experience developing and maintaining SharePoint sites
Proficiency with Microsoft Office tools and SQL query development
Customer/Client oriented
Excellent communication skills with strong attention to detail
Good judgment and problem solving skills, able to think outside the box
Proven history of delivering timely, high quality reporting and analysis from diverse, complex data sources
Mortgage Origination experience is a plus
Experience with various Business Intelligence tools will be a plus

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Wealth Management Resume Examples & Samples

Responsible for representing the WM line of business in all wholesale credit risk initiatives in wholesale systems
BAU support of all wholesale credit risk systems including our data interfaces in/out of WM and the Credit Risk Infrastructure
Work with business leads, various control teams, compliance and other partners to continually enhance processes, planning/prioritization, and project implementation activities
Build a cohesive team through quality written and verbal communication, clear goals and objectives setting, team involvement and strong leadership
Assist various stakeholder constituencies by acting as a thought leader for strategic planning activities; identifying project framework, coordinating on integration into operating model, defining resource needs and navigating resource-demand management processes
Demonstrate leadership and influencing skills in strategic planning, priority setting and alignment of project and work priorities with business strategy and leaders across multiple organizations
Ensure successful execution of each project and request, including driving any required escalation, resolution of resource gaps/dependencies while meeting all required change management controls
Ability build strong senior level presentation materials and ‘tell the story’ to drive action
Demonstrate superior judgment to mitigate risk. Foster an environment where risk/controls are anticipated and proactively addressed
Manage a team of project managers responsible for various Credit initiatives
Typically 10+ years of related project/program management and/or strategic planning/delivery experience including 3-5+ years people management experience, preferably leading senior project delivery personnel
Undergraduate degree required, MBA desired
Broad subject matter knowledge across credit processes and systems along with willingness to learn / dive into new content areas
Proven track record managing multiple complex initiatives, with ability to drive project from concept level ideas through requirement definition and execution lifecycle
Superior judgment, team building, budgeting, presentation skills, and the ability to work under continual deadline pressure
Experience and broad understanding of software delivery lifecycle processes, working in complex programs with focus in risk management, operations and technology integration as well as knowledge of key compliance, control and risk policies
Strong skills in Microsoft PowerPoint and Project with overall ability for presentation-building

222

Wealth Management Resume Examples & Samples

A background on an Investment Banking Structuring team required
Technical understanding of the derivatives market
Strong Structured Products and OTC documentation skills
Ability to use Excel Spreadsheets to analyse data and prepare Microsoft Powerpoint presentations proficiently
Strong communication and project management skills required
Demonstrated ability to analyse and solve problems and to manage multiple tasks at once

223

Wealth Management Resume Examples & Samples

Manage the weekly formatting, uploading, testing and quality assurance of content across variety of formats using content management systems and HTML
Maintaining the quality and consistency of our websites, webinars and client portals
Support a range of digital campaigns and programmes, identifying opportunities for enhancement and working with agencies to optimise
Develop online capabilities within the broader marketing organisation
Integrate with the broader digital teams to provide a holistic view and digital approach for stakeholders
Support the writing and graphic design of pieces in collaboration with the global Interactive Marketing and Creative Services teams
Work closely with marketing and client experience partners to ensure content is delivered to meet agreed upon deadlines and meets our visual standards. Document processes to improve quality and efficiency
3+ years of professional experience in marketing, PR or communications roles in (with a preference for financial services or other regulated industries), with a track record of superior delivery and execution
Expert knowledge of purpose built content management systems, HTML, CSS, and responsive design
Good working knowledge of Adobe Creative Suite and Excel
Experience with graphic design (print/web), including data visualisation strongly preferred
Strong interest in multimedia marketing, with willingness to learn video protocols
Very strong project management skills required; detail oriented with a high standard for accuracy

224

Wealth Management Resume Examples & Samples

At least 2 years of brokerage or related industry experience
Must be able to research and resolve problems in various stages
College degree recommended /preferred
Strong reasoning skills
Series 7 license preferred. If Series 7 is not held, candidate must be able to attain within within 120 days

225

Wealth Management Resume Examples & Samples

Perform oversight for the offshore AWM Access Control Team
Support employee on/off-boarding activities
Manage access approvals for Workstation
Manage the Functional Transfer initiative across US Operations & GTSS
Analyze occupancy needs for WM Operations across Delaware locations
Perform semi-annual review of entitlements for external cash movement applications
The individual may also be responsible for managing ad hoc projects for Senior Management
Detail oriented and committed to raising the bar for performance standards
Control focused
Excellent computer skills: MS Office Suite (Excel, PowerPoint, Word, Access), InfoPath, SharePoint
Able to operate with minimal oversight
Embrace and manage through fast-paced and changing environment
Effective in a team setting but also as an individual contributor
Self starter, high energy, and motivated to innovate the business
Knowledge of JPMC software platforms preferred
Series 99 or equivalent license (if none, will need to complete the requirement within 120 days of starting the role)
2-3 years experience in project management, metrics management, business management or other roles with coordination responsibilities across a diverse set of stakeholders
2-3 years experience in direct interface with Senior Management / Senior Leadership

226

Wealth Management Resume Examples & Samples

Lead the go-to-market strategy for new products launched
Understand the client journey and play a key role in shaping and marketing enhancements
Find ways to coordinate best practices and campaign ideas across JPM
Degree in Marketing, Communications or other related business discipline
Minimum of 7 years of marketing experience at a wealth management firm, preferably targeting high net worth clients
Experience with lending and/or trust and estate products a plus
Strong writing and editing skills. Ability to translate client needs and product benefits into effective marketing content
Experience providing effective direction to writers and designers
Consultative marketing approach and the ability to interact and communicate effectively with all levels of the organization
Excellent project management, problem-solving and time management skills. Ability to work in a fast paced environment and handle multiple priorities and projects at one time
Willingness to be involved in all aspects of developing and implementing marketing programs
Experience in direct and digital marketing a plus

227

Wealth Management Resume Examples & Samples

Write queries and provide data (client address data/mailing lists) using the ‘datamart’ and following established governance protocols
Timely fulfillment of data requests from the Private Bank, including Product Management and Marketing Communications
Prioritize and manage data requirements that support Regulatory, product change and standard business practice client communications
Ensure quality and accuracy of data selected for the client communications lists
Create instructions and reporting for partners as part of the quality assurance review process
Maintain open lines of communication and manage expectations with business partners
Identify/Develop process improvements and efficiencies
Document and present procedural changes to team members
Liaise between multiple departments
Investigate and respond to inquiries and issues
2+ year’s data analytics and programming experience required
Proficiency in SQL and in database and spreadsheet packages like Microsoft Access and Excel
SAS knowledge / proficiency
Client and partner focused
Ability to manage confidential data and report issues with honesty and integrity
Attention to detail and ability to assimilate fragmented facts into a detailed problem statement
Excellent analytical, problem solving and time management skills
Ability to work independently with minimal supervision as well in a team environment
Outstanding time management and prioritization techniques
Detail oriented and able to prioritize multiple projects and/or tasks
Ability to work in both a team and individual environment
Series 99 License or equivalent required within 120 days of hire date

228

Wealth Management Resume Examples & Samples

Coordinate and follow through on client requests for transactions, including wire transfers, standing payments and check orders as directed by the CSA teams
Assist CSAs with the clients’ cash management/overdraft management, including the raising of cash for payments, capital call notices and bill payments
Assist CSAs with research, follow-up and issue resolution through effective interaction with CSA and operations teams in a timely and professional manner
Participate in special projects and UAT testing for technology enhancements as assigned by the Service Manager
Experience with banking and investment products preferred
Good communication skills, both written and oral

229

Wealth Management Resume Examples & Samples

Detail oriented, ability to work towards a tight deadline
A self-starter with ability to work under pressure and with minimum supervision
A team player who is also able to work independently
Adherence of operational procedures to complete task in an accurate and timely manner
Strong interpersonal, communication and written skills. Should be proficient with written English
Entry-level candidates as well as candidates with up to 3 years of experience in a similar role
Basic knowledge of all financial products across different asset class (shares, bonds, FX, structured products, derivatives, etc)
Proficiency in MS office applications (Word, Excel, Access with be an advantage)

230

Wealth Management Resume Examples & Samples

Understands business objectives and will execute the event strategy that supports business goals
Must think strategically and problem solve, must have ability to offer creative solutions
Must offer creative event ideas and solutions to help grow business in Northern California region
Review and evaluate events to ensure they make sense, drive flows and if they are worth repeating
Identify cost efficiencies wherever possible
Responsible for event management in Northern California
Responsible for maintaining budgets and event calendar accordingly
Participate in market team meetings, US regional events team meetings and multiple banker meetings as required
Function as an integral part of the team
Working knowledge of venue site searches, contract negotiations
Help create agendas for events
Multiple administrative responsibilities (invoice processing; invitation development; creation of nametags, place cards, menu cards, seating, RSVP management and reporting, etc.)
A minimum of seven years prior experience in event management related activities
Must think strategically; identifies issues and finds a reasonable solution
Must be able to multi-task and work under tight deadlines
Must be able to handle difficult or demanding personalities
Prior experience in budget management and event planning
Proficiency in Microsoft Excel, Word & PowerPoint
Ability to master various database products
Ability to analyze data: see trends, find mistakes, consolidate data, create reports
Ability to work early morning and late evening events
Financial services experience is a plus

231

Wealth Management Resume Examples & Samples

Responsible for the onboarding of active and passive investment funds, based on pipeline priorities, ensure results are delivered on-schedule while closely adhering to internal policies
Responsible for partnering with front-office investors and the portfolio management team to improve the fund palette and tailor share class solutions for individual clients and portfolios
Responsible for managing and delivering on all new share class requests for Investors,, advising on jurisdictional requirements linked to share class launches (documentation, tax transparency etc.)
Lead projects relating to the product including those driven by business and regulation
The ideal applicant would have broad investment and non-investment knowledge of pooled investment products

232

Wealth Management Resume Examples & Samples

The ideal candidate will possess a “can do” attitude, be detail oriented, and have a strong aptitude for analyzing large, complex data sets to deliver high quality reporting to senior managers
1-3 years of experience in a reporting or business analytics role
Strong working knowledge of Microsoft Office Applications (Excel, Pivot Tables, Access, Power Point, SQL)
Strong data analysis/quantitative/technical aptitude with ability to quickly learn new metrics, processes, and datasets
Ability to multi-task and manage multiple priorities
Executes superbly and meets commitments
BS/BA preferred

233

Wealth Management Resume Examples & Samples

Support all Corporate Action activities
Support all Income Collection activities
Execute client’s instruction through custodians
Research all out of balance transactions and process
Ability to prioritize and multi-task in fast paced team environment
Brokerage / Securities Operations
Detail and control oriented
System experience Omnitrust, Titan, DTC, Bloomberg
Flexibility – able to work extended hours when necessary
Ability to analyze offering documentation
SQL, XML and Access Data coding skills – a plus
College degree or three to five years equivalent work experience

234

Wealth Management Resume Examples & Samples

Analyze and report on deposit activity to identify trends and position JPMorgan with Private Bank clients
Create and distribute reports to help Integrated Team Members (ITMs) identify clients who are banking prospects and may use additional products
Analyze client activity from a revenue, flows, market perspective to identify trends, assess profitability and opportunities
Learn to discuss Bank stability, capital ratios, balance sheet investments, and other core banking related activities
Internally support deposit sales team, phone coverage, travel coverage, campaign management
Handle special situations requiring creativity (ad hoc analysis/presentations)
Prepare presentations for use in internal and external meetings
Interact with partners including the front-office, product development and finance
Work closely with banking sales/product team in communicating sales ideas and strategies
Directly support the Global Head of Banking & Custody to strategically grow the business
1-3 years related financial services experience
Strong analytical skills: reporting, metrics, data analysis
Ability to excel in a fast paced environment
Strong teamwork ethic
Superior technical skills: Excel (spreadsheets, pivot tables, etc.) and PowerPoint

235

Wealth Management Resume Examples & Samples

Analyze and interpret corporate action information for both
Previous experience reporting MIS
Ability to prioritize and multi-task in fast paced team

236

Wealth Management Resume Examples & Samples

Create one JPMC-wide Financial Planning Center of Excellence by integrating several legacy groups
Supervise and manage a team of cross-business financial planning specialists covering clients across the wealth spectrum
Develop and implement a JPMC-wide financial planning philosophy / framework and tool
Design, staff, and launch a new Behavioral Finance / Cash Flow Management practice
Collaborate with internal partners and the front office to drive awareness and adoption of JPMC’s financial planning program
Represent JPMC’s financial planning program externally with the media, centers-of-influence, at conferences, etc
Build and maintain strong relationships with key internal stakeholders across channels and external partners
Domain expert with 10+ years of experience in financial planning with at least 5+ years in a senior leadership role
Exceptional leadership and management skills with proven experience managing a cross-channel team
Experience navigating large and complex organizations
Strong marketer with the ability to develop and implement both internal and external marketing campaigns

237

Wealth Management Resume Examples & Samples

Coordination and management of large to multiple mid- level projects or other process improvement initiatives, across Chase Wealth Management Operations
Drives root cause analysis and implements solutions
Develops and may deliver executive presentations
Research, implement and evaluate cutting edge project management improvement practices to enhance effectiveness and efficiency of current planning and execution processes
5-7 years of project management experience

238

Wealth Management Resume Examples & Samples

Assist CLT Lenders in underwriting all facilities secured by our client’s investment portfolios, including new requests and annual reviews
Analyze collateral pool and grade appropriately per internal credit policy, including ability to compare each transaction to credit policy in order to flag any credit exceptions or non-standard terms for review
Prepare underwriting proposals for credit approval by Lenders and Credit Executives
Prepare client credit documentation including facility agreements, authority forms, registration documents etc
Assist Lender in pipeline management and other sales management and administration activities
Assist Lender/ Credit Risk Management in monitoring of ongoing risk such as collateral shortfalls, document exceptions, past due reviews etc
Assist in special projects such as portfolio reviews, credit and exposure reports
Thorough understanding of derivatives & traditional credit products is a must
Experience in structuring and underwriting credit transactions is preferred
High level of analytical skills, able to use both qualitative and quantitative tools to analyze complex financial situations
High level of attention to detail in order to ensure all work adheres to credit policy
Teamwork ethic and focus; ability to work under pressure and meet deadlines
Interest in structuring complex credit transactions with sound business judgment and risk sensitivity
Degree in finance or related field

239

Wealth Management Resume Examples & Samples

Expert knowledge of and proven success with complex credit products and concepts including, but not limited to residential real estate loans, concentrated collateral loans, unsecured lending, marketable secured lending, aircraft finance and art lending
Knowledge of capital markets and macro interest rate environment
Ability to communicate sophisticated credit concepts to all levels of clients and prospects
Demonstrated understanding of wealth management including, but not limited to: investment management, trusts and financial planning

240

Wealth Management Resume Examples & Samples

Supports our key digital content experiences across the following platforms: Client content portal (Ideas & Insights), public website and internal content portal (Content Connect)
Executing our content strategy across digital channels, ensuring that key messages and priority content are distributed to their intended audiences deliberately and consistently
Own the day-to-day execution of the digital content experience, ensuring that content appears fresh, relevant and up to standards of digital best practices. Manage curation and placement recommendations, and work with Digital Production to implement
5-7 years in a marketing or publishing role, financial services sector desired, but not required
Experience with the content creation and digital content distribution process
Strong project management skills and the ability to drive complex projects forward on schedule
Ability to improve ineffective processes and implement them with partners
Ability to account for the needs of multiple stakeholders and coordinate projects across functions and regions
Razor-sharp attention to detail with respect to proofreading and quality control

241

Wealth Management Resume Examples & Samples

Help prepare and maintain DDRs as requested by our internal policies and procedures
Help input all call memos and pipeline information on a daily basis into ClientConnect
Partner with the CSS team and any other member of the broader team in the daily management of DDAs, MMAs, IMAs, Brokerage Accounts and Credit facilities and any other accounts or activities relating to the overall client relationship
Help provide analysis and interpretation of client data and proactively generate ideas to help in the daily management of client accounts
Prepare and review Investment Performance or other client presentations for Advisors to deliver to clients
Assist in brokerage trade execution (mostly reactive, however some proactive). Compare paper blotter to trade blotter daily and input cancel/corrects
Alternative Investments document management
Discretionary Accounts - can set up trades but not submit them for execution
Risk Management - monitor exceptions and work with Investors to resolve 'what-if' scenario based analysis and developing Investment Plans for Advisors to present to clients, and using JPM wealth modeling tools
Manage sales management priorities and track follow up
Create Mandates/DPMs to be reviewed by Advisors for approval and signoff. Help with account opening documentation
Work on account updates with Account Maintenance team
Answer phones to help clients or take messages
Cantonese and/or Mandarin & English fluency, both oral and written required
Minimum 1-2 years industry related experience

242

Wealth Management Resume Examples & Samples

General Ledger Integrity – calculate and oversee accruals and reserves. Prepare and review of revenue & expense variance & trend analysis. Oversight of Inter-company transactions which includes review and resolution of all Inter Company breaks
Regulatory & External Reporting – Ensure regulatory reporting is accurate and filed before due date. Coordination of PWC audits & local regulators. Daily collateral monitoring. Provide DRQ & supplementary data to Corporate & Regulatory Groups. Monitor activities between bank and non-bank entities comply with Reg W
Compliance with Legal Entity Control Standards, including income attribution, revenue sharing and transfer pricing between entities
Financial Reporting – Preparation & presentation of Board Packages, Legal Entity Financial Reports and other business support as needed
Treasury Operations – Assist with the management & optimization of the legal entitie’s capital investments, monitor daily cash movements and transfers, oversight liquidity and regulatory exposure, provide appropriate funding of the legal entities DDA accounts by minimizing the cost, monitor and assess the impact on the bank’s cost of funding & margins
Controls –Interpretation & implementation of Corporate Accounting Policies, Quarterly review & substantiation of the Other Assets & Liabilities. Work with other WM teams to ensure proper controls around financial activity and assist with resolution on any identified Control issues

243

Wealth Management Resume Examples & Samples

Requires 3+ years investment industry knowledge
Prefer experience with operational controls in an Risk & Control Self Assessment (RCSA) testing environment
Requires strong project management skills, ability to work independently and attention to detail
Must have ability to use independent judgment and willingness to dig deep into details of projects
Strong time management and organizational skills with a focus on solutions and innovation
Excellent verbal and written skills with a proven ability to work with all levels of personnel including senior management
Experience with Microsoft Products, Word, Excel, PowerPoint, etc
Ability to organize information in a concise and user friendly way
Advanced analytical and quantitative skills
Ability to effectively build relationships and partner with the field
Prefer business related Bachelor's Degree

244

Wealth Management Resume Examples & Samples

Partnering with the client facing teams to collect required documentation to meet both KYC and Account Opening requirements to satisfy all regulatory and internal polices
Maintain a governance and reporting structure to ensure objectives are clearly defined, deliverables are documented with associated metrics to measure output and all team members remain engaged and on track with target deadlines
Manage and facilitate client due diligence teams, including coordinating the participation of JPMorgan stakeholders who have KYC & Account Opening responsibilities
Serve as senior escalation point of contact for KYC & Account Opening issues for designated clients
Serve as the senior point of contact for KYC & Account Opening due diligence teams
Act as a subject matter resource on all Client Onboarding related policies and procedures (both Account Opening and KYC)
Partner with the Risk & Controls team to track and execute on all open Action Plans and regularly participate in RCSA testing and implementation
Self-identify potential risk issues and process gaps, and proactively resolve them
Discuss and escalate with Compliance complex issues surrounding client types and structures, financial products & services, and other AML risk-related issues impacting a client’s KYC or Account Opening
7 to 10+ years of experience with in a financial services, operational or compliance fields
Prior experience in AML/KYC and Account Opening a plus
Proficient with technology and systems and capable of applying knowledge to operations and understanding the overall infrastructure and business implications
Proactive control and risk management, addressing gaps in processes and escalating issues to benefit the business and clients in a dynamic environment
Drives strategic and tactical plans, including automation and process reengineering initiatives, with an ability to anticipate and overcome barriers
Resource and talent management, aligning the right resources to clients and initiatives and allocating work efficiently. Acquires and develops talent for the organization and enables others on team to develop strong relationships
Oral and written fluency in English and Spanish is preferable

245

Wealth Management Resume Examples & Samples

Interact with internal partners (Bankers, Investors, Capital Advisors, Credit Executives and Credit Middle Office) to deliver the best fully secured credit product solution with a sound credit structure
Maintain a consistently high level of awareness around any potential credit issues. Proactively resolve exceptions, including but not limited to margin call situations, past review facilities, past due principal/interest and documentation exceptions
Take into account the risk/reward proposition when negotiating loan rates with Bankers and must employ a discipline around loan pricing and structure
Ensure follow up on all relevant open items and transactional issues, e.g. documentation, covenants, collateral shortfalls etc
Ensure all new credit requests and annual reviews are completed in a timely fashion in compliance to any cross border and regulatory requirements
Pipeline management and other credit initiatives
4-6 years of Private Banking credit risk or lending experience
Good understanding of financial markets and securities industry
Strong communication (written/verbal) and interpersonal skills
Fluency in English. Mandarin or Cantonese language skills would be a strong plus

246

Wealth Management Resume Examples & Samples

Documentation tracking and scanning using in house systems
Preparing client letters
Handling Client Website allocation

247

Wealth Management Resume Examples & Samples

Strong client service skills and ability to resolve problems
Knowledge of internal procedures involving discretionary distributions, account maintenance, account opening/closing, ARU and management of overdrafts - is a plus
Bachelors degree required; MBA or other advanced degree is a plus; JD strongly preferred

248

Wealth Management Resume Examples & Samples

A minimum of 1-3 years experience in the trust and estates industry
Advanced degree such as JD, industry certification such as CTFA or paralegal certificate, with paralegal experience in trust and estates practice preferred
Client Servicing – client knowledge, client relationships, proactive communication

249

Wealth Management Resume Examples & Samples

Underwrite mortgage loans for high net worth individuals
Individual will analyze business/consumer financial statements, individual credit reports, calculate cash flow and balance sheet ratios as appropriate, review other relevant information, and recommend the credit decision
Underwriter to ensure the transaction adheres to mortgage lending regulations and appropriate credit policies
Individual must be able to work in a high production environment while meeting or exceeding agreed upon targets for volume, timing and quality
Requires a bachelor's degree in accounting, finance, business management or substantial previous mortgage lending experience
At least five years of mortgage lending and underwriting experience
Possess strong PC skills

250

Wealth Management Resume Examples & Samples

Responsible for creation and development of project plans, coordinating project status calls, delivery of periodic project status, including tracking all tasks to completion and escalation and resolution of issues or risks to the project delivery
Coordinate fixed annuity rate change process including communication, EZ Forms change and quality control
Requires communication with senior management
Coordinate updates to forms, procedures, reference or training materials
Provide support for system access administration and business continuity testing
May require occasional travel for project related meetings, new carrier onboarding, carrier due diligence meetings, etc

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