Chase Wealth Management Resume Samples
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Chase Wealth Management Resume Samples
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RS
R Sanford
Ron
Sanford
7463 Wuckert Heights
Chicago
IL
+1 (555) 627 7221
7463 Wuckert Heights
Chicago
IL
Phone
p
+1 (555) 627 7221
Experience
Experience
Los Angeles, CA
Chase Wealth Management
Los Angeles, CA
Block-Hoeger
Los Angeles, CA
Chase Wealth Management
- Data analysis – including the collection of data from various sources, synthesizing the information, performing analysis, interpreting results and making recommendations. Present findings and recommendations in a business-friendly way that identifies issues, explains causes, details business/client impact, and build a business case and consensus for change
- Supporting Advisor(s) through a variety of tasks including, but not limited to, account opening, account maintenance, gathering statements, completing documentation as well as preparing materials for client meetings
- Create, manage and track project tasks, action items, change controls & weekly metrics
- Supporting the Advisor(s) by building and maintaining client relationships and assisting the Advisor(s) with ongoing financial planning for clients and referral source management
- Focus on ongoing advisor development through new advisor training, advanced training workshops/role plays and one to one coaching sessions
- Responsible for developing and coaching both new and tenured financial advisors, including providing them with the right starting client base and accounts; and ensuring that advisors have the right training, including service and product education
- Develop and maintain strong relationships with key partners in Consumer Bank (Market Managers, District Managers, Branch Managers) and other parts of JPMC
Los Angeles, CA
Ccb-chase Wealth Management
Los Angeles, CA
Hamill-Jakubowski
Los Angeles, CA
Ccb-chase Wealth Management
- Help manage relationship and account reviews; prepare timely and accurate performance reports
- Complete employee performance reviews annually and continually develop staff
- Manage a team of Supervision Officers as they execute delegated supervisory duties
- Actively engage in Risk Management; including Know Your Customer procedures, Account Reviews and Inquires
- Demonstrates a strong level of Investment Sales/Referrals including: Self-motivated, assertive, performs well in a competitive sales environment
- Interact with Senior Management across all facets of retail brokerage business (Compliance, Legal, Sales, Operations, Administration)
- Ensure that all work completed by team is within guidelines
present
San Francisco, CA
CWM Chase Wealth Management
San Francisco, CA
Jacobi, Emmerich and Grady
present
San Francisco, CA
CWM Chase Wealth Management
present
- Perform risk management reporting
- Create and maintain collateral terms in the Credit Workstation (lending values, pledges, special comments)
- Lead projects for work process automation, system integrations/development, etc. for the PB in concert with other PB disciplines and/or corporate project teams
- Work to improve the operations and collateral monitoring capabilities
- Review offline derivative monitoring processes - identify opportunities to improve /streamline
- Build, manage and maintain off-line monitoring arrangements as necessary to support PB credit product and/or collateral-related covenants
- Manage inquiries from Credit, Lenders, Client Services and Loan Operations on control, collateral and compliance related topics
Education
Education
Bachelor’s Degree in Investment Services
Bachelor’s Degree in Investment Services
Kennesaw State University
Bachelor’s Degree in Investment Services
Skills
Skills
- Team player and adaptable to changing environment, with good interpersonal skills
- Ability to create and foster strong partnerships with the branch employees and business partners
- Highly disciplined, self-motivated, and delivery-focused individual who is able to work independently
- Excellent computer navigational skills (Microsoft Office)
- At least 5 years of customer-facing investment, insurance and financial profiling experience (phone-based sales a plus)
- Knowledge of the Credit business or specific credit related products is
- Excellent analytical, problem solving and time management skills
- Proficient in Microsoft products: Word, Excel, Project, PowerPoint, MS Access and Visio
- Ability to analyze and manipulate financial, product data to draw conclusions on product opportunities, identify areas of inefficiency or ineffectiveness in processes
- At least 5 years of customer-facing investment, insurance and financial profiling and sales experience experience (phone-based sales a plus)
13 Chase Wealth Management resume templates
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1
CWM Chase Wealth Management Resume Examples & Samples
- Work to improve the operations and collateral monitoring capabilities
- Participate in technology initiatives designed to improve derivative operations, monitoring, risk calculations and reporting
- Work closely with Capital Markets Credit team, Global Investment Opportunities team, Investors/Sales Trader, Middle Office to provide support on critical initiatives, resolve issues, provide risk reporting, based on business priorities
- Partner with Capital Markets Credit and technology team to refine collateral requirement calculations for emerging products and strategies and to align to Credit Support Annex definitions
- Review offline derivative monitoring processes - identify opportunities to improve /streamline
- Create and maintain collateral terms in the Credit Workstation (lending values, pledges, special comments)
- Build, manage and maintain off-line monitoring arrangements as necessary to support PB credit product and/or collateral-related covenants
- Responsible for confirming compliance with collateral related regulations
- Responsible for confirming control of collateral for various arrangements (deriv, 3rd party pledges, physical certs) and instructing areas as appropriate to lien/release assets
- Verify collateral adequacy for client initiated transaction and approve disbursements under secured loan transactions
- Track collateral held by a 3rd Party Custodians
- Manage inquiries from Credit, Lenders, Client Services and Loan Operations on control, collateral and compliance related topics
- Review, validate, issue and track margin calls. Identify cause/recommend solution to Lenders/Credit/Sales Traders
- Identify breaks in process, gaps and weaknesses; escalate as appropriate; recommend and implement improvements
- Understand Lending Value methodology, Credit Policy, Compliance requirements
- Contribute to technology enhancements and problem identification for the monitoring application used for Bank Credit Exposure (CMS)
- Lead projects for work process automation, system integrations/development, etc. for the PB in concert with other PB disciplines and/or corporate project teams
- Perform risk management reporting
- Interest in the financial markets and risk measures
- Capable of managing projects independently
- Service oriented
- Expert excel and data manipulation skills
2
Chase Wealth Management Resume Examples & Samples
- Business analysis to support Workstream owners ensuring proper definition of requirements, testing, training and integration of the platform into the BAU business processes
- Data analysis – including the collection of data from various sources, synthesizing the information, performing analysis, interpreting results and making recommendations. Present findings and recommendations in a business-friendly way that identifies issues, explains causes, details business/client impact, and build a business case and consensus for change
- Define user acceptance test plans and test cases.Work with line of business to obtain script approvals. Execute user acceptance testing of new platform including logging defects. Responsible for understanding results and providing sufficient information to enable signoff on a deliverable
- Creation of procedures and training materials
- Provide implementation support including production checkout of new tool and user training
- Create, manage and track project tasks, action items, change controls & weekly metrics
- Ad-hoc project support and requests as needed
3
Chase Wealth Management Resume Examples & Samples
- Series 7 & 63registration required in addition to meeting FINRA continuing education requirements, Series 65 or 66 registration required and the appropriate state Group 1 - Life and Variable Annuity License required
- At least two years of customer-facing investment, insurance, and financial planning experience required (phone-based sales a plus)
- High achiever with entrepreneurial spirit
4
Chase Wealth Management Resume Examples & Samples
- A proven track record of success in an advisor or consultant role
- Proven experience working with multiple complex investment vehicles including: bonds, options, mutual funds and off shore investment contracts
- Fluency in a second language required. Spanish, Portuguese and/or Mandarin/Cantonese preferred
- Ability to manage multiple priorities in a fast paced environment; adaptive to change
- Series 7 and 66 (or Series 63 65) registration required in addition to meeting FINRA continuing education requirements
5
Chase Wealth Management Resume Examples & Samples
- Directly responsible for managing advisor and customer relationships in designated region
- Accountable for sourcing and recruiting external Advisors
- Responsible for developing and coaching both new and tenured financial advisors, including providing them with the right starting client base and accounts; and ensuring that advisors have the right training, including service and product education
- Develop and maintain strong relationships with key partners in Consumer Bank (Market Managers, District Managers, Branch Managers) and other parts of JPMC
- Up to 50% local travel required
- 5+ years proven experience coaching, recruiting and managing financial advisors at all levels
- Proven ability to source and attract internal and external talent by building and maintaining personal network of contacts
- Demonstrated ability to build relationships and partner with other areas of Consumer & Business Banking
- High degree of investment services and product acumen, and keen interest in the financial markets
- Strong communication skills, attention to detail and excellent follow-through
- FINRA Series 7, 9/10 (or equivalent) and 66 (or equivalent), Life and Health required in addition to meeting FINRA continuing education requirements
6
Chase Wealth Management Resume Examples & Samples
- Directly responsible for managing advisorand customer relationships indesignated region
- Accountable for sourcing and recruiting externalAdvisors
- Responsible fordeveloping and coaching both new and tenured financial advisors, including providing them with the right starting client base and accounts; and ensuring that advisors have the right training, including service and product education
- 5 years proven experience coaching, recruitingand managing financial advisors at all levels
- FINRA Series 7, 9/10 (or equivalent) and 66 (or equivalent), Life and Healthrequired in addition to meeting FINRA continuing education requirements
7
Chase Wealth Management Resume Examples & Samples
- Help identify cross Line of Business partnership opportunities
- Actively engage in Risk Management; including Know Your Customer procedures, Account Reviews and InquireSupporting business unit operational procedures and compliance requirements (e.g. completion of required operational forms and documentation)Facilitate accurate and timely account set up, money movement and investment trades
- At least two years of client relationship experience and proven ability to build lasting client relationships, internal partnerships and excel at client service
- Excellent interpersonal/communication and organizational skills
- Ability to work in a fast paced professional environment with heavy phone-based customer interaction
- Ability to manage and resolve difficult situations with clients
- Ability to support multiple Advisors in multiple locations
- Series 7, Series 63and 65 or Series 66 registration and the appropriate state Group 1 - Life and Variable Annuity License in addition to meeting FINRA continuing education requirements
- Spanish and English fluency REQUIRED
8
Chase Wealth Management Resume Examples & Samples
- Champion efforts and work with cross-functional teams, most notably Sales, Marketing, Investing, Training, and Technology to design, manage and promote retirement strategies and solutions
- Work closely with Legal, Risk, and Compliance teams to ensure the Chase Wealth Management Platform adheres to the necessary regulatory requirements, and remains current with proposed and ongoing regulatory issues and changes
- Understand legislative changes and planning concepts related to various retirement plans, IRAs, Rollovers, and Annuities
- Excellent working knowledge of individual & small business retirement products and accounts (IRA, Rollover IRA, Roth IRA, SIMPLE, SEP, Individual 401k, Profit Sharing, Money Purchase), as well as retirement education and online planning tools. Additional knowledge of annuity products is a plus
- Serve as Designated Producer for Chase Insurance Agency, Inc. and J.P. Morgan Securities LLC in the states in which those entities are licensed
- Verify and sign agency insurance license applications and renewals
- Maintain agency records and legal agreements
- Conduct business review of all agency legal agreements, including selling agreements and service agreements
- Prepare presentations for board meetings
- Coordinate the Insurance Carrier Risk Committee
- Support legal and compliance in responding to regulatory inquiries
- Work closely with Risk and Control managers to improve agency controls and risk management
- Assist the President with special projects such as on-boarding new lines of business
- Bachelor's degree and over 3 years of experience in insurance and annuity finance, legal/compliance and/or operations
- Strong knowledge of annuity products (both variable and fixed) and their features. Some knowledge of life insurance, property/casualty products and features
- Series 6 or7 and Series 24 securities licenses
- Life insurance and property casualty licenses will be required post hire
- Good knowledge of Microsoft Office products including Excel, Word, PowerPoint
9
Chase Wealth Management Resume Examples & Samples
- Primary manager directly responsible for employee and customer relationship management in a designated territory
- Lead, develop and coach both new and tenured Advisors, including providing them with the right starting client base and accounts and ensuring that they have the right training, including service and product education
- Accountable for sourcing, recruiting and recommending Advisor and Investment Associate talent, partnering with senior management to identify, recommend, vet and close top, more Senior, external Advisors
- Responsible for performance managing Advisor talent while also executing on retention goals
- Develop and maintain strong relationships with key partners in Consumer Bank (BMs and DMs) and other parts of JPMC
- Responsible for the appropriate segmentation of the business assigned to each Advisor
- 5+ years proven experience coaching and managing all levels of Advisors from brand-new recruits through highly experienced Advisors
10
Chase Wealth Management Resume Examples & Samples
- At least two years of financial services or brokerage experience required
- Excellent telephone communication skills and articulation of speech, displaying a high level of professionalism
- Ability to adapt conversations to meet the needs of a diverse client base across all 50 states
- Experience in a sales oriented role
- Extremely organized and detail oriented, demonstrating working knowledge of Windows, Microsoft Office software (Word, Excel, PowerPoint, Access, etc.) and various file manipulation skills on a PC
- Demonstrated working knowledge of Windows, Microsoft Office software (Word, Excel, PowerPoint, Access, etc.) and various file manipulation skills on a PC
- Series 7 and 63 registration required in addition to meeting FINRA continuing education requirements and ability to be registered in all 50 states
- Series 65 or 66 registration and the appropriate state Group 1 - Life and Variable Annuity License
11
Chase Wealth Management Resume Examples & Samples
- Two years of college or one year of administrative experience required
- Skills include accurate typing and proofreading, working familiarity with widely used software packages e.g. Word, Excel, and Power Point
- General clerical skills - (taking clear and concise phone messages, organize manager's agenda, etc.)
- Basic clerical experience such as maintaining files and records, typing, proofreading, answering telephone, coordinating conference room assignments, confirming appointments and/or maintaining calendars
12
Chase Wealth Management Resume Examples & Samples
- You are required to obtain your Series 7 license within 60 days of your transfer into the Financial Advisor Associate Trainee role
- Should you fail to pass any of the required licensing exams on your first attempt or fail to fulfill any other requirements to obtain the licenses, you will not meet the qualifications of the Financial Advisor Associate role, and will be removed from that role
- Demonstrates a strong level of Investment Sales/Referrals including: Self-motivated, assertive, performs well in a competitive sales environment
- Meets stated goals and utilizes designated marketing and promotion process, with strength in the areas of working the phone and lobby and profiling to gather assets
- Team Effectiveness: Contributes to overall team, forms partnerships, successful integration with branch
- Interpersonal Skills: Communicates clearly and effectively, shares critical information to facilitate successful performance
- A minimum of 1 year in the PB Role generating PVCs
- Success at generating Total and Investment PVCs
13
Chase Wealth Management Resume Examples & Samples
- Responsible for managing thirty (30) Advisors plus customer relationship management in a high growth market
- FINRA Series 7, 9/10 (or equivalent), 66 (or equivalent), and Life and Health insurance required
- Meet FINRA continuing education requirements
- In the field management traveling 50% of the time
- Bilingual Spanish strongly preferred
14
Chase Wealth Management Resume Examples & Samples
- Actively engage in Risk Management; including Know Your Customer procedures, Account Reviews and Inquires
- Supporting business unit operational procedures and compliance requirements (e.g. completion of required operational forms and documentation)
- Ability to travel locally between branches as needed
15
Anticipated Chase Wealth Management Resume Examples & Samples
- FINRA Series 7 and 66 (or equivalent), in addition to meeting FINRA continuing education requirements
- Strong business and investment acumen; knowledge of Investment Products, Individual Retirement Accounts (IRAs), and Employee Benefit programs required
- Ability to create and foster strong partnerships with business partners, working independently as well as in a team environment
- Ability to be flexible between the hours of 8:00 am – 8:00 pm EST, Monday through Friday
16
Chase Wealth Management Resume Examples & Samples
- Responsible for FINRA Designated Supervisors in respective region
- Strategically partner with Home Office to ensure business objectives are achieved
- Effectively resource and lead a team of Supervisory Managers, who are responsible for key risk and supervisory functions, including but not limited to escalated transaction inquiries, escalated account inquiries, surveillance inquiries, outstanding licensing requirements, effective execution of e-mail reviews and monthly account reviews, concerns that arise from pre-hire compliance checks, trade corrections, outside business activities, and coordination of customer complaints
- Ensure business and firm-wide initiatives are successfully driven by Supervisory Manager team (ex. Concentration Reviews, Large Account Reviews, etc.)
- Develop and motivate the team by providing a compelling vision of shared goals and objectives, sets high standards while empowering and holding team and individuals accountable for meeting those standards, and assess performance and create development opportunities to help others grow professionally
- Seek out ways to leverage and apply innovative ideas to enhance business results
- Ensure day-to-day operational, compliance and supervisory and risk aspects of the business are functioning
- Ensure timely and effective responses to compliance, supervision and audit examinations on a priority basis
- Establish operations goals, plans, and infrastructure with a focus on process efficiency and service excellence
- Provide approval when needed to resolve any escalated supervisory issues
- Bachelor Degree with more than 10 years relevant supervisory experience in brokerage operations, supervision, compliance; prefer direct supervisory management experience of Advisors
- Broad knowledge base and experience in Financial Services with extensive understanding of applicable regulatory regimes (OCC, FINRA, SEC in particular)
- Leadership and influencing skills to drive change
- Superior communication and people management skills
- Leadership skills in change management
- Experience with and understanding of 12 CFR 9 and the Fiduciary obligations thereunder
17
Chase Wealth Management Resume Examples & Samples
- Champion efforts and work with cross functional teams, most notably Sales, Marketing, Investing, Training, and Technology to design, manage and promote retirement strategies and solutions
- Lead product management function and provide ongoing oversight
- Develop and present in-depth retirement training materials
- Develop client-facing retirement content
- Identify and create the necessary reports, metrics, and analysis to measure the effectiveness and validate the success of projects/initiatives introduced
- Analyze the competitive marketplace, industry trends and environment around the retirement income planning landscape and annuities
- Understand legislative changes and planning concepts related to various retirement plans and IRAs
- Bachelor's degree in Business, Management, Marketing or related field required
- 5+ years of experience in retirement sales support or field function
- Excellent working knowledge of individual & small business retirement products and accounts (IRA, Rollover IRA, Roth IRA, SIMPLE, SEP, Individual 401k, Profit Sharing, Money Purchase), as well as retirement education and online planning tools
- Excellent verbal communication and problem solving skills
- Candidates should be able to clearly articulate key business objectives, and primary metric measures for financial products and services
- Strong analytics, strategic thinking and client centric a must
- Excellent written, oral, and presentation skills
- Series 7 and Series 24 preferred
- Industry designations, such as CRPC, CISP are a plus
18
Ccb-chase Wealth Management Resume Examples & Samples
- At least 5 years of customer-facing investment, insurance and financial profiling experience (phone-based sales a plus)
- Track record that demonstrates exceptional ability to grow revenue, assets and client base
- Investment, insurance and financial planning experience required
- Excellent track record from a legal and consummation of sale perspective
19
Chase Wealth Management Resume Examples & Samples
- Work with different business lines and different functional areas to provide guidance and direction for managed account system and process design, specifically building out a comprehensive, consolidated platform with a universal contract
- Key relationship manager with all asset managers involved with CWM’s managed and brokerage strategies
- Maintain competitive analysis and industry trends on existing products
- 5-10+ years experience in Financial Services; Managed Account experience a plus
- Strong leadership, influence, analytical, collaboration skills, required
- Strong at facilitating communications and forming partnerships with firm-wide partners
- Series 7, 66 preferred
20
Chase Wealth Management Resume Examples & Samples
- Supporting FCs through a variety of tasks including, but not limited to, account opening, account maintenance, gathering statements, completing documentation
- Data entry for all client inquiries and certain delegated functions (i.e. processing inbound intake forms, sending out initial emails to prospects on behalf of the FCs, etc.)
- Data entry and research for referral source management
- Group mailbox management and organization
- Fed-Ex or Fax processing – inbound and outbound
- Document review (i.e. pre-review on all outgoing client documents for accuracy and errors)
- Basic research items with clients and back-office (i.e. the fax was never received or is illegible, the instructions we provided were not followed properly, statement copies, etc.)
- Support Operations Manager with all her or his job duties
- Back-up Administrative Assistants when she or he is out of the office
- Facilitate accurate and timely account set up
- Minimum two years of financial services industry experience with a focus on exceling at client service
- Self driven, Excellent interpersonal/communication and organizational skills
- Experience identifying areas for process improvement and creating efficiency within a process
- Experience working on project teams and the project management process, with particular attention to information technology projects
- Knowledge and proficiency with SharePoint, InfoPath, Access, and Visio strongly preferred
21
Ccb-chase Wealth Management Resume Examples & Samples
- FINRA Series 7 and 63 licensing required in addition to meeting FINRA continuing education requirements and the appropriate state Group 1 - Life and Variable Annuity License
- Series 65 and/or 66 license preferred (If you do not currently hold these licenses, you will be required to obtain them)
- At least two years of financial service sales experience (phone-based sales a plus)
- Ability to integrate with bank partners within the branch and be a team player
- Acceptable compliance record in prior position(s)
- Investment sales, insurance and financial planning experience required
- Track record that demonstrates exceptional sales production
22
Ccb-chase Wealth Management Resume Examples & Samples
- Supporting the Advisor(s) by building and maintaining client relationships and assisting the Advisor(s) with ongoing financial planning for clients and referral source management
- Supporting Advisor(s) through a variety of tasks including, but not limited to, account opening, account maintenance, gathering statements, completing documentation as well as preparing materials for client meetings
- Help manage relationship and account reviews; prepare timely and accurate performance reports
- Facilitate accurate and timely account set up, money movement and investment trades
- Minimum one year of financial services industry experience
- Knowledge of investments, insurance, bank products, financial planning and use of financial planning tools
- Detail oriented, strong analytical/problem solving skills, ability to work in a team
- Proficiency in Word, Excel, and PowerPoint
- Series 7, Series 63 and 65 or Series 66 registration and the appropriate state Group 1 - Life and Variable Annuity License in addition to meeting FINRA continuing education requirements
23
Ccb-chase Wealth Management Resume Examples & Samples
- Manage a team of Supervision Officers as they execute delegated supervisory duties
- Appropriately escalate, and help resolve, supervisory issues as warranted
- Monitor for, and appropriately address, concerning business trends and patterns
- Track Supervision Inquiries and address open items to prevent excessive aging
- Respond to Compliance and Audit Examinations on a priority basis
- Excellent interpersonal, verbal, & written communication skills
- Strong organization & supervisory skills
- Demonstrated leadership, employee development, coaching and motivational skills
- At least five years of securities/investment industry experience required
- Three years of supervisory or project management experience required
24
Chase Wealth Management Resume Examples & Samples
- Minimum Bachelor's degree in Finance, Economics, Accounting or other quantitative discipline. An MBA degree and/or professional certification, such as CPA or CIA a plus
- Detailed knowledge of products and services provided within a Wealth Management business including brokerage, investment management, and wealth advisory services
- Knowledge of applicable laws and regulatory requirements banking (specifically OCC 12 CFR 9) and broker/dealer regulations (FINRA, SEC)
- Strong analytical and risk analysis skills particularly in regard to understanding business processes, identifying control points and gaps, and assessing the probability and impact of an internal control weakness
- Enthusiastic, self motivated, effective under pressure and willing to take personal risk and accountability
- Ability to perform out of state travel (10%)
- Professional accountancy qualification and/or other professional certifications, such as CFIRS, CFA, or CIA are a plus
25
Ccb-chase Wealth Management Resume Examples & Samples
- At least five years of financial services or retail brokerage experience required
- Recognized as subject matter expert , and respected by team as leader
- Proven experience and thorough understanding of NRA client segment
- Excellent consultative and organization skills; ability to make complex concepts simple
- Ability to create and foster strong partnerships with business partners
- Strong business and investment acumen; knowledge of and experience managing NRA client base required
- Fluency in a second language required. Spanish, French
- Ability to work independently as well as in a team environment
- Series 7 and 66 (or Series 63 + 65) registration required in addition to meeting FINRA continuing education requirements
26
Chase Wealth Management Resume Examples & Samples
- Heavy calendar management, schedule internal/external meetings and appointments; coordinate conference calls including conference rooms and telepresence
- Coordinate travel arrangements (air, hotel accommodations and ground transportation) with the manager and travel agency, prepare detailed itineraries, make changes when necessary, assure accuracy and timely delivery of plans/tickets for travels
- Create expense reports that follow outlined policies for reimbursement
- Telephone coverage; screen calls, take messages and distribute in a timely and appropriate manner
- Create and edit documents using Word, PowerPoint and Excel
- Event Planning for on/offsites, team building exercises
- Assist with overflow, special projects and day-to-day tasks
- Provide administrative support for the team including coordination of presentation decks for hosted meetings
- Responsible for all staff on boarding/off boarding - JRAS initiation, Manager Web Top creation including equipment purchases, desk setup and system access
- Manage general office needs such as ordering supplies, retention of files, floor maintenance and coordination with Real Estate (for seating new staff)
- Coordinate group coverage, i.e. vacations, training and annual planning
- Minimum three years administrative experience and meeting coordination required
- Strong PC skills (proficient knowledge of MS Outlook, Word, PowerPoint and Excel)
- Ability to multi-task, prioritize, manage multiple priorities effectively and accurately while meeting deadlines
- Excellent diplomacy and judgment; able to make independent and sound business decisions; needs minimal guidance; knows when to seek advice
- Superior organizational capacity to enable multi-tasking day to day deliverables
- Excellent telephone etiquette
- Past experience working with a registered broker dealer and/or a general understanding of the investment industry highly preferred
27
Chase Wealth Management Resume Examples & Samples
- Ensure that all work completed by team is within guidelines
- Assist in overall effort to continually review and enhance tools, reports and programs used to monitor investment trades to make certain supervisory processes are as thorough as possible
- Help identify potential gaps in supervisory policies and procedures, and work with Management and Compliance to continually enhance and document effective policies and procedures
- Interact with Senior Management across all facets of retail brokerage business (Compliance, Legal, Sales, Operations, Administration)
- Address Supervision Inquiries with Registered Representatives and Supervisory Managers
- Assist as needed in reviewing inbound & outbound quarantined e-mails and 3% of clean e-mails
- Complete employee performance reviews annually and continually develop staff
- Strong research, analytical, problem solving and decision-making skills
- Excellent computer navigational skills (Microsoft Office)
- Retail brokerage experience strongly preferred
- Proven ability to work in a dynamic team environment
- FINRA Series 7, 9/10 (or 24, 53 and 4), 66 (or 63/65), minimum licensing requirements
- Life and Health license required within 30 days of hire date
28
Invest Servicing Senior Spec-chase Wealth Management Resume Examples & Samples
- Currently hold or willingness to obtain FINRA Series 7 and 24 licenses
- Candidates that do not hold either the Series 7 or 24 must obtain both licenses within 120 days of hire date
- .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 and owning the customer experience end to end
- Ability to communicate with department managers to escalate operational issues
- Ability to be flexible between the hours of 8:00 am – 8:00 pm EST, Monday through Friday. Some Saturdays may be required
- Excellent telephone communications skills displaying high level of professionalism with Chase Wealth Management Customers
29
Chase Wealth Management Resume Examples & Samples
- Bachelors Degree in Computer Science or Bachelors Degree in Engineering
- 8+ years software application development experience
- 5+ years experience in estimating, validating and sizing of development projects
- 3+ years experience as a development lead with JAVA and J2EE
- Significant experience working with RIA web technologies (e.g. HTML5, Adobe Flex) and JavaScript based frameworks (e.g. ExtJS, JQuery, AngularJS)
- Exposure to relational database and data access concepts
- Exposure to version control systems like subversion & git, Hudson, JIRA, EQC
- Experience performing a similar role in which the applications have been developed utilizing Java, J2EE, Flex, Java Messaging Services (JMS), Object-oriented analysis and design techniques, HTML, Java Server Pages (JSP)
- Experience with Spring Framework and Dependency Injection
- Experience with Unix and scripting languages
- Familiarity with Ant scripts, or similar deployment tools
- Familiarity with Maven build tool
- Excellent analytical, communication, organizational and problem-solving skills coupled with a strong work ethic
30
Chase Wealth Management Resume Examples & Samples
- Demonstrate ability as a recruitment subject matter expert to design & develop meaningful recruiting strategies, which support the development of a diverse, qualified candidate pool, including the use of technology and alternative sourcing techniques
- Build knowledge of competitor institutions and use market data and intelligence to inform hiring decisions
- Prepare and provide new Financial Advisor hiring due diligence requiring a strong analytical background, knowledge of the brokerage industry recruiting practices and ability to create competitive new hire, deal structure
- Proactively source, interview, and present qualified candidates to hiring managers and solicit feedback on candidates to refine recruiting strategy as applicable
- Proactively share innovative solutions to add value, anticipate needs, and streamline process for the client
- Provide candidates with frequent & timely communication throughout recruitment process, share manager feedback and appropriately disposition all candidates
- Educate candidates on the career growth potential, benefits, compensation philosophy and many advantages of working for JPMC, selling both the firm and the opportunity
- Understand diversity goals for respective LOB, provide education to hiring manager and ensure diverse candidate slates
- Partner with business on key strategic initiatives
- Manage, utilize, and partner with industry specific agency partners
- 5 - 7 years experience with Brokerage industry experience and Financial Advisor recruiting is required
- Superior multitasking, project management, and presentation skills coupled with wealth management business acumen
- Ability to develop creative and diverse sourcing strategies; including use of technology, market mapping, and cold-calling
- Solid project management and reporting skills with ability to manage complex situations and multiple priorities with a committed dedication to providing a high level of customer service
- Seasoned in constructing complex offers and deep experience with sophisticated compensation negotiations
- Knowledge of employment laws and employee relations, including specific knowledge of the rules that affect employment
- Excellent influence, communication, organizational, negotiation and presentation skills, including the ability to effectively influence senior management
- Outstanding interpersonal skills and ability to establish strong relationships with business managers and Human Resources Business Partners
- Ability to multi-task, utilize good time management skills, and attention to detail
- A strong commitment to diversity and shared values by being a role model for others
- Knowledge of FINRA rules and regulations relating to hiring of FINRA licensed individuals
- Strong Excel and analytical skills required
- Experience in hiring into Wealth Management
- HR and Recruiting related systems including Taleo, Smashfly, HireVue, Concur
- Location is flexible – close proximity to a major Metro preferred – i.e. NYC, Chicago, Dallas, La Jolla CA, Phoenix, Columbus OH, etc
31
Chase Wealth Management Resume Examples & Samples
- Be the contact for lateral recruiting for HR Business Partners, Compensation and other HR Specialists in designated areas
- Provide consultation and negotiation related to recruitment process in partnership with Hiring Managers and Human Resources Business Partners
- Establish a rapport and partner with the appropriate stakeholders for candidate development and offers
- Manage, utilize and partner with industry specific agency partners
- 3-5 years experience with full project life cycle In-house recruiting in a fast paced corporate environment or agency recruiting firm focused on financial services is required
- Experience interviewing and managing the offer process for multiple levels of positions
- Innovative, creative and results-oriented
- Ability to work independently in a dynamic environment of change, challenge, and multiple deadlines and priorities
- Expert name generation, networking, and relationship building skills
- High level of comfort with direct sourcing and the ability to sell currently employed, potential candidates on opportunities within JPMorgan Chase
- Experience working with an applicant tracking system
- Demonstrated ability to interact with all candidates and managers
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Chase Wealth Management Resume Examples & Samples
- Strong knowledge of financial planning, retirement planning, gifting techniques and wealth transfer strategies and the ability to apply that knowledge to client specific situations
- Ability to evaluate retirement needs and issues of clients and prospects, identify which of the available strategies are appropriate, educate clients and work with clients and their professional advisors to determine which recommendations to implement
- Ability to communicate common as well as more sophisticated wealth planning concepts to all levels of clients and prospects
- Demonstrated understanding of wealth management including, but not limited to: retirement and investment management, as well as banking
- Ability to work in a team based environment and assist in the development of the Advisors
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Chase Wealth Management Resume Examples & Samples
- Manage a team of Senior Operations Associates
- Assist in overall effort to continually review and enhance tools, reports and programs used to monitor electronic communications to make certain processes are as thorough as possible
- Help identify potential gaps in policies and procedures, and work with Management and Compliance to continually enhance and document effective policies and procedures
- Address inquiries from Registered Representatives and Supervisory Managers
- Assist as needed in reviewing inbound & outbound flagged e-mails and clean e-mails
- Appropriately escalate, and help resolve, issues as warranted
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Chase Wealth Management Resume Examples & Samples
- FINRA Series 7 and 24 minimum licensing requirement in order to be considered
- FINRA Series 66 (or 63 and 65), 53 and 4 in addition to Life Insurance license required within 90 days
- FINRA Series 24, 53 and 4 may replace the requirements for Series 9 and 10
- Bachelor Degree required (BA/BS) preferably in Finance, Accounting, Mathematics or Business
- 3-5 years of experience in risk management, Operations, or Information Technology Risk in the financial sector, preferably with a broker-dealer or wealth management business
- In-depth understanding of business technologies with a focus on broker-dealer and wealth management systems in the financial services industry
- Ability to develop compelling analytical reporting and presentations
- Ability to build and maintain relationships across the wider firm
- Detail-oriented and ability to work independently
- Strong computer skills: Excel, PowerPoint, Word, Access
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Chase Wealth Management Resume Examples & Samples
- Provide leadership and coaching to other project managers and business analysts in the group; conduct project reviews, resource analysis, status tracking and reporting, escalation support, training, etc
- Create implementation deployment plans and validation activities at time of deployment to production
- Manage and lead projects related to new carrier onboarding, new products, product maintenance, regulatory changes, risk/controls, process and technology enhancements, and other initiatives related to annuity, insurance, offshore investment contracts, and 529 plans operations. Includes all aspects of project management: scope, requirements, testing and implementation, change control process. Ensure defect-free implementation
- Coordinate completion of project/change overview or training/reference documents shared with operations, annuity service center and other areas
- Requires some evening and/or weekend hours for system implementations
- Requires Project management experience
- Prefer experience in insurance, annuity, and/or 529 plans
- Prefer FINRA Series 7 and 24 licenses but not required
- Ability to effectively handle multiple concurrent assignments
- Prefer College graduate
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Chase Wealth Management Resume Examples & Samples
- Responsible for the training and management of 30+ Senior Operations Associates (Research Team) in the support of the Department of Labor Fiduciary Rule
- Ensure that all work completed by Research Team is within Department of Labor and related regulatory guidelines
- Identify and address the risk issues associated with the execution of the CWM business and where appropriate open, complete and close related action plans
- Address inquiries from Registered Representatives and the Field Management Team
- FINRA Series 7, 66 (or 63/65) and 24, minimum licensing requirements
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Chase Wealth Management Resume Examples & Samples
- Responsible for providing operational support and project leadership including the analysis and execution of assigned projects for Chase Wealth Management Account Processing/New Accounts Operations. Lead and participate in various projects to support business needs including the analysis, recommendation, and implementation of accepted solutions
- Conduct project reviews, resource analysis, status tracking and reporting, escalation support, training, etc
- Lead EZ Forms change projects including requirements gathering and writing, developing and executing test plans, creating implementation deployment plan and validation activity at time of deployment to production
- Lead projects related to new account opening, account maintenance, regulatory changes, risk/controls, process and technology enhancements, and other initiatives related to Chase Wealth Management account processing operations. Includes all aspects of project management: scope, requirements, testing and implementation, change control process. Ensure defect-free implementation
- Identify, analyze and document business requirements, test cases and test plans and conduct testing for process and/or technology enhancements
- Assist in coordinating updates to forms, procedures, reference or training materials
- Requires project management experience
- Prefer experience in investment or brokerage industry
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Chase Wealth Management Resume Examples & Samples
- Knowledge of investments, insurance, and bank products, with a focus in financial planning and use of financial planning tools
- Ability to work in a fast paced professional environment with heavy phone-based advisor interaction
- Ability to manage and resolve difficult situations with advisors
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Chase Wealth Management Resume Examples & Samples
- Increase CWM assets, and revenue through increased investment sales
- Serve as primary point of contact for Advisors on investment solutions and strategy
- Be the CWM investment product subject matter expert
- Focus on ongoing advisor development through new advisor training, advanced training workshops/role plays and one to one coaching sessions
- Coordinate with CWM strategy and product development teams to support managed product and brokerage sales development
- Lead advisor and focused sales calls and assist with providing investment content
- Partner with Regional Director, Market Director and Supervisory Managers to grow investment business, coach advisors, recruit external advisors and mitigate risk within the region
- 5-10 years of financial services sales experience, including investment product experience
- Proven leadership experience and ability to effectively partner with others
- Deep investment and product knowledge and the ability to articulate complex investment ideas
- Experience with managed and brokerage account sales
- Exceptional written skills and strong executive communications experience
- CFP, CIMA, or CFA designation preferred, but not required
- Series 7, 66 registration
- Organizational and project management skill; proven ability to manage multiple priorities
- Strong presentation and closing skills
- Consultative nature and personality
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Chase Wealth Management Resume Examples & Samples
- Develop and oversee an effective, impactful team of IPS’ aligned against specific sales management priorities and goals
- Primary manager of IPS employees in designated territory, management responsibilities include, but are not limited to: handling the performance management process, assisting in the sourcing and recruiting of new IPS employees and handling the on-boarding of new hires
- Increase CFA usage
- 7-10 years of financial services sales experience, including investment product experience
- Experience managing small but highly functional teams
- Recognized as subject matter expert, and respected by team as leader
- Ability to manage, influence and motivate upward and downward across function
- Proven credibility and influence beyond immediate team
- Influential communication skills that drive impactful outcomes
- Develops and implements solutions/strategies based on deep expertise of business and product
- Track record of incrementally larger, more complex roles requiring both deep technical expertise and broad business industry and product knowledge
- Perseveres in ambiguous situations while maintaining strategic grounding
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Chase Wealth Management Resume Examples & Samples
- Maintenance of policies and procedures for Supervision
- Creation and distribution of Ad Hoc Reporting as needed
- Supporting project needs of Supervision management team as needed
- Creating and maintaining databases that are critical to supervisory management functions
- Writing and testing scripts
- Maintain audit logs
- Assisting with onboarding/offboarding employees
- Assist in producing weekly/monthly risk report
- Minimum of five years of experience in the securities or investment industry required
- A college degree and specialized training in project management required
- Minimum of five years of experience with brokerage products and/or annuities preferred
- An in-depth knowledge of brokerage operations is preferred
- Ability to develop strong inter-departmental and interpersonal relationships required
- Ability to effectively communicate with senior management required
- In-depth analytical skills required
- FINRA Series 7 and 63 licenses preferred
