Investment Resume Samples

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E Gusikowski

Ewald

Gusikowski

349 Morar Crescent

San Francisco

+1 (555) 369 5041

349 Morar Crescent

San Francisco

Phone

p +1 (555) 369 5041

Experience Experience

Dallas, TX

Junior Investment Analyst

Dallas, TX

O'Reilly and Sons

Dallas, TX

Junior Investment Analyst

Design/develop/improve existing quantitative models/tools to facilitate portfolio analysis, to help monitor and manage risk as well as explain performance
Develop financial models and analyses; create, evaluate, and assist in execution of business plans and strategic initiatives
Prepare monthly strategy team packets for investment meetings, discussing market trends, manager performance and workflow
You will assist the commercial team by providing analytical support, leasing and investment comparatives and general market knowledge,
Identify opportunities and make recommendations for changes in work processes and procedures that positively impact the organization
Update work based on edits provided during review process to produce an accurate
Help perform due diligence and conduct market research and related industry networking

Philadelphia, PA

Investment Performance Analyst

Philadelphia, PA

Blanda, Blanda and Schamberger

Philadelphia, PA

Investment Performance Analyst

Monitor performance data workflow, processes, and systems. Identify ways to maintain accuracy and improve efficiency
Troubleshoot performance issues by working with analysts, portfolio managers, compliance, operations, vendors, clients, etc
Assist in improving/developing performance measurement operations
Creating GIPS-Compliant Composites, working closely with internal AMG teams and third-party providers (verifiers and performance vendors)
Manage the process of gathering and reconciling performance returns for benchmark indices
Collaborate in a team environment with other investment performance analysts to enhance reporting and analysis process and raise broad considerations around systematic issues that may arise
Working closely with team members in AMG in the development of GIPS-Compliant Composites

present

Philadelphia, PA

Investment Executive

Philadelphia, PA

Cremin LLC

present

Philadelphia, PA

Investment Executive

present

Being on top of ongoing workload – taking ownership for the work, creating trust from managers
Seeking feedback on the work form line managers and peers
Daily support in the management of workload and communication internally, and with the markets, ensuring timely delivery of reporting
Establishing close working relation with internal stakeholders (account team and business leads) and local teams (account and Amplifi)
Being culturally sensitive when working with local teams, and be open and curious about experiencing an international work culture
Post-appointment follow up to maintain relationships and develop referrals from existing client base
Communicating clearly and effectively with line managers and local teams – getting your point across, being straight forward and honest

Education Education

Bachelor’s Degree in Finance

Drexel University

Bachelor’s Degree in Finance

Skills Skills

Excellent verbal and written communication skills in English, proficiency in German or Spanish an advantage
Knowledge of financial markets and products. Knowledge of portfolios, guidelines, restrictions an advantage
Very hands-on with strong attention to detail
Strong analytical skills
Working knowledge of various computer applications such as Microsoft Office
Strong analytical thinking
Basic understanding of investment concepts
Strong Excel skills
Good written and communication skills
Ability to work well in a fast-paced, high-pressure environment

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Portfolio Investment Regulations & Operations Analyst Resume Examples & Samples

Bachelor's degree preferably in Finance, Economics or Business Administration
At least 1-3 years of related experience in the financial services industry (preferably in an auditing or compliance capacity)
Investment or portfolio compliance experience preferred
Fundamental knowledge of asset management and mutual funds
Strong working knowledge of local regulations, regulatory examination process and applicable investment guidelines
Familiarity of applicable local securities legislation and fundamental understanding of applicable legislation in other regions in which the firm operates
Familiarity with Charles River preferred
Proficient presentation skills
Strong analytical and problem solving skills with the ability to resolve simple and complex issues quickly and accurately
Ability to develop strong partnerships with internal clients (Portfolio and Trading)
Ability to work in a time sensitive environment with multiple priorities
Ability to work independently, but can also strive in a team-oriented environment
Intermediate Microsoft Excel skills (proficient in formulas, functions, charts, macros)
Fluency in English and Spanish required

Marketing Associate, PCG Investment Products Resume Examples & Samples

Work closely with PCG IP marketing team members and product center subject matter experts to ensure marketing efforts are coordinated, consistent, and relevant to the individual product centers, PCG IP as a whole, and the firm
Work in a dynamic team environment to coordinate marketing campaigns, build and execute on communication plans, use graphic design software to create and update advisor and client collateral, and, among other things, coordinate conferences and events
Drive efficiencies and improve marketing processes. Review existing processes and procedures on a regular basis to determine if enhancements are possible
Work with other PCG IP marketing professionals, other departments in the firm (e.g., Marketing Services) and outside organizations to adopt best practices
Maintain the product and compliance knowledge required to successfully support product center marketing needs and strategic marketing objectives of PCG IP
Assist in implementing marketing strategies by coordinating the creation and production of marketing and communications materials, including reviewing specifications, obtaining and preparing bids, and acting as a liaison with vendors
Conduct basic marketing research and compile results for projects, as assigned
Principles and practices of customer relations, marketing and communications
Products covered by PCG IP such as the Alternative Iinvestments Group (hedge funds, private equity, private real estate, managed futures, etc.), Structured pProducts, Concentrated Equity Solutions, Equity Options, Mutual Fund Research and Raymond James Insurance Group, mutual funds, and options
Strong skills in organizing, managing, and executing on objectives with minimal oversight, a strong attention to detail, a high level of professionalism
Coordinating marketing and communication projects and activities
Strong critical thinking skills required to solve marketing needs and problems, suggest improvements, and create and present ideas
Operating standard office equipment and using required software, including word processing, spreadsheet, graphics, data base and internet reference service applications
Use or quickly become proficient in advanced features of Microsoft Excel (e.g. v-lookups, pivot tables, etc.)
The ability to write macros is a plus
Bachelor's degree (B.A) in business, finance, marketing or a related field and a minimum of five (5) years of marketing or sales support experience in the financial services industry preferred

Investment Resume Examples & Samples

Client service skills
Strong verbal and written communication skills
Ability to work independently in a fast paced environment and meet agreed turnaround times
Good organizational and decision-making skills
Strong computer skills and attention to detail
Ability to follow instructions and schedules

Marketing Associate, PCG Investment Products Resume Examples & Samples

Work in a dynamic team environment to build and execute on communication plans, use graphic design software to create and update advisor and client collateral, and, among other things, assist with coordination surrounding conferences and events
Organize, manage, and execute on objectives with limited oversight, a strong attention to detail, a high level of professionalism, and with appropriate timeliness
Bachelor's degree (B.A) in business, finance, marketing or a related field and a minimum of five (2) years of marketing or sales support experience in the financial services industry preferred

Corporate Governance & Responsible Investment Resume Examples & Samples

Responsible for the implementation of the approved corporate governance policies for a number of the key markets in the region through engagement with investee companies, including voting at shareholder meetings
Analyzing meeting agendas and related materials in order to vote in the manner most consistent with BlackRock’s corporate governance policies
Work closely with fundamental/active portfolio managers to get their input into our engagements, including proxy voting, and risk analysis
Act as an internal consultant on ESG by educating leading BlackRock (internal) investors in responsible investing/ESG and by keeping them abreast of market changes
Partner with the European Head of CGRI to execute the strategy for the firm’s CGRI efforts in EMEA
Monitor market developments to ensure that BlackRock’s ESG offering to clients continues to be leading edge and that we continue to provide clients with the solutions and products they seek
Engage with Chairmen, CEOs and other senior representatives of the companies in which BlackRock invests, in conjunction with portfolio managers to address a range of issues including industry trends, strategy and performance in addition to corporate governance
Contribute to the management and development of the team
Serve as a senior expert in BlackRock’s corporate governance and responsible investment team with a strong focus on high profile engagements, governance policy and responsible investing in EMEA for key audiences internally and externally. Ensure an accurate and widespread understanding of our activities in this area
Take responsibility for our publicly available documents, including voting guidelines, ensuring their relevance and timeliness
If required, take responsibility for communication with the regional oversight committee and, in conjunction with the Committee’s chairman, ensure its members remain informed of regional developments and are equipped to fulfil their function to guide the team’s work
Share responsibility with the Head of EMEA CGRI for public representation of BlackRock’s views and work on CGRI, including with clients
Work closely with the Head of EMEA on assessing key regulatory and market developments in the CGRI field to ensure that BlackRock’s approach continues to be at the leading edge of best practice
Well rounded finance/investment management professional with extensive hands on experience in financial and governance analysis and ESG investing
Proven experience of engaging at a high level of seniority in corporate, client and public/regulatory settings
Strong understanding of portfolio management and more broadly the asset management industry
A proven ability to cultivate strong relationships internally and externally and consistently across different corporate levels of stakeholders
Ability to communicate effectively and with confidence with senior stakeholders and deliver tough messages if/when necessary. Self-starter, able to think on their feet and drive/influence change across different parts of the firm
Experience in developing and managing a team
The candidate must have strong presentational skills in both small and larger group settings, internally and externally. All senior team members contribute extensively to communicating with senior BlackRock leaders, clients, prospective clients, investment consultants, company representatives and policy makers, conversations that are all critical to our effectiveness
A collaborative working style, with a positive attitude and a commitment to delivering to the highest standards for our clients by continually seeking opportunities to develop and improve our approach
Independence of thought and a willingness to take a stand contrary to public opinion on voting and policy issues if that is in the economic interests of our clients, consistent with our fiduciary mandate
A demonstrated track record of professional integrity throughout career
Strong academic and professional credentials. Post graduate CFA, MBA or finance qualification would be an advantage

Corporate Governance & Responsible Investment Team Research Analyst Resume Examples & Samples

Research fundamental trends on a global basis of extra-financial factors (ESG) and their implications for long-term sustainable growth, identifying investments that are leaders and laggards in that context
Research investment themes through broker-dealer or investment bank research, industry conferences, and company meetings, among others
Develop measurement tools for assessing ESG risks for potential investments and integrate the measurement into traditional fundamental analysis, building models, and quantifying the potential downside
Apply the research to achieve BlackRock’s goals for ESG integration in the investment process in multiple asset classes (e.g. equity, fixed income, private equity, etc.)
Proactively communicate research to governance analysts, sector analysts, and portfolio managers for use in issuer engagement and holistic investment decision making
Conceptualize, develop and implement into practice related processes and procedures
Help colleagues leverage the research in product development
The successful candidate will have a minimum of 3-5 years of relevant experience and proven track record in fundamental investment analysis
Multi-disciplinary investment skills, adept at evaluating investment risk and opportunities
Excellent modeling and valuation skills
Strong written and verbal communication and presentation skills
Demonstrated academic and professional record
MBA and/or CFA preferred, with relevant scientific knowledge in the sustainability field
High level of intellectual curiosity and receptivity to fresh approaches to problem solving
Globally-minded individual who has an understanding of international financial markets, business climates, currencies and cultures
Ability to prioritize and manage multiple projects/tasks simultaneously, with project management experience a plus
Autonomous, entrepreneurial thinker
Capacity to thrive in a dynamic global market environment

Investment Thresholds Resume Examples & Samples

Initiatives, research and submissions for regulatory relief related to holdings, including obtaining and maintaining such relief, primarily in the Americas but also in other jurisdictions
Advising on position reporting and monitoring, including Section 13 compliance in the US and required reporting for other BlackRock operations in the Americas. Includes assistance with Americas Thresholds Legal Review Project
Obtaining exemptions and issuer-specific relief, both globally and locally
Interacting with outside counsel regarding certain regulated industries; and
Special projects as required
3-6 years’ experience as an attorney with a law firm or in-house at a financial services company
Securities law and/or asset management experience required
Experience with M&A or control transactions, futures and derivatives a definite plus
Experience with specific regulated industries also helpful (e.g. banking, telecom, insurance, utilities, gaming or brokerage)
Excellent organizational, and inter-personal skills
Excellent written and verbal communication and analytical skills
Ability to multi task, complete projects on time and adjust to changing priorities
Ability and desire and learn quickly, be flexible and collaborative
Solutions oriented, strategic thinker, ability to understand the business needs and partner with the business and control functions
Enthusiastic, self-motivated and willing to take personal responsibility and accountability

Wealth Advisory Alternative Investment Product Marketing Resume Examples & Samples

Partner with business and sales leaders to build concise, repeatable and actionable messaging, while ensuring consistent positioning across media
Research, write, edit and coordinate the production of client and financial professional marketing deliverables to support AI product campaigns
Tie all product messaging to client and advisor needs / outcomes
Conduct ongoing competitive and big-picture review of marketing and sales tools to enhance BlackRock’s leadership position in the marketplace
Collaborate with other departments, including portfolio management, product specialists, investment communications and value-add/retirement teams, to coordinate dissemination of related market insight, educational and product content across sales channels
7+ years of financial services experience, preferably with a focus on alternative strategies and / or mutual fund marketing campaigns
Strong creative writing and editorial skills, plus a strong background in message development, with the ability to hook the reader and “bring the product to life”
Understanding of intermediary-sold mutual funds and how wholesalers promote mutual funds to financial professionals through story-based selling techniques
Solid interpersonal skills with a demonstrated ability to work well in a team based environment and interact and communicate effectively - written and verbal – with clients and other stakeholders
Hands-on player with strong sales orientation; accepts ownership for planning and implementing the tactics necessary to successfully execute strategic objectives
Working knowledge of investment databases, including Morningstar, FactSet and Bloomberg
Ability to translate complex portfolio data (such as performance attribution reports) into useable information
Sense of financial literacy; interest in and understanding of capital markets
Ability to quickly form meaningful working partnerships and demonstrate leadership
Strong PC Skills, including PowerPoint and Excel
CFA or MBA a plus

Retail Investment Technology Resume Examples & Samples

Sales coverage
Lead for covering emerging technology-driven RIAs (aka robo-advisors), specifically those under $250M AUM
Manage relationship with ~a dozen firms today and monitor industry publications for new firms
Ensure that iShares are used whenever possible in model portfolios, coordinating with due diligence, capital markets, marketing, portfolio strategists, and other resources as necessary
Develop and implement partnership ideas to help grow those firms where BLK is most aligned (e.g., co-marketing, content syndication)
Bridge to rest of USWA
Bring learnings from these robo-advisors into partnership discussion with our larger intermediaries, particularly in Retail Direct (e.g., TD, Merrill Edge)
Coordinate hand-off of client coverage to RIA channel as these firms grow
Coordinate monthly/quarterly discussion between RIA and Direct to foster improved partnership with small and large robo-advisors
Globalize these engagements
Spread insights from these firms to Global Retail coverage teams
Coordinate monthly/quarterly engagement with similar consumer emerging technology teams in our Global Retail organization
Ability to establish strong relationships with clients
Highly effective oral and written communication skills. Intellectual ability and interpersonal skills to establish his/her credibility with senior managers and their teams
Results driven, with a high degree of self-motivation
Resourceful, proactive team player, able to work with people of all levels. Solid cultural fit with a high integrity profile
Ability to organize and manage multiple tasks in a professional, fast-paced environment
Analytical ability to synthesize information and summarize issues. Attention to detail and ability to prioritize the most critical business issues
Strong work ethic and professional demeanor
Superior skills in Microsoft Word, PowerPoint, Excel

Global Investment Opportunities Group Latin Private Bank Ed Resume Examples & Samples

Expertise across asset classes, including: currencies and commodities; fixed income; equity; derivatives; and emerging markets
Institutional capital markets coverage experience with an emphasis on absolute return focused client
Seven plus years experience in institutional capital markets sales and trading
Advanced knowledge of derivatives
Licenses 7, 66 required for position
Bachelors degree required; MBA or CFA preferred

Investment & Corporate Banking Compliance Director Resume Examples & Samples

Provide advice and guidance on issues relating to Information Barriers, Research Settlement, Conflicts of Interest, Registration, Personal Trading, Gifts and Entertainment, and Outside Business Activities
Work closely with the Conflicts Office on real or perceived conflicts stemming from investment banking transactions, personnel or investments
Advise on issues around confidential and material non-public information
Advise on Dodd Frank related issues
Prepare and deliver annual compliance training sessions to the business and supporting functions
Draft and maintain Compliance manuals and policies and procedures related to Investment and Corporate Banking
Proactively provide updates and guidance to Investment Banking Management on the impact of applicable laws and regulations as well as firm policies that may impact the business; work with legal and subject matter experts on interpreting these rules
Attend weekly business meetings and provide update on important issues as need
Participate in regular meetings with senior business management and provide Compliance updates
Liaise closely with Corporate and Other Compliance teams to advise the business on and implement policies and procedures around AML, OFAC and Anti-Corruption, surveillance, risk assessments
Coordinate internal investigations along with Human Resources, Employee Relations, Litigation and Security and Investigations related to alleged Code of Conduct violations and recommend disciplinary guidelines
Advise and liaise with various partners including Business Management, Human Resources, Technology, Internal Audit, Marketing and Communications on issues related to Investment and Corporate Banking activities or personnel
Partner with Legal colleagues to advise on regulatory issues stemming from investment banking transactions or new rules and regulations

Investment Customer Service Rep-broker Service Center Resume Examples & Samples

Requires either FINRA Series 7 and 63 licenses or to obtain licenses within 90 days of hire
Leadership skills and a competitive spirit
An ability to work closely with team members to achieve both individual and group goals
Patience

Investment Center Resume Examples & Samples

At least1 year customer service and call center experience
Insurance, Annuity, and/orRetirement Products Experience Required
Life Insurance and Securities License ( Series 6 and 63) Preferred but not Required
Strong Client Focus
Able to Multi Task
Ability to Work in Fast-Paced Environment
Solid knowledge of Microsoft Systems
Strong problem solving and decision making skills

Investment Customer Service Rep-broker Service Center Resume Examples & Samples

Strong brokerage, annuity or retirement knowledge
Previous call center experience preferred
A competitive spirit
Fluency in Spanish a plus
2 years financial industry experience, a bachelor's degree, and FINRA Series 7 and 63 licenses required (if you don't have either your 7 or 63, you will be required to obtain within 90 days of hire)

Cib-alternatives Investment Services Project Manager Resume Examples & Samples

Overall
End to end responsibility for planning, managing and delivering projects, including
Subject Matter Expertise - must have experience of delivering change in an operational environment, ideally within hedge fund services, prime brokerage and/or private equity with emphasis on instruction capture and management (instructions capture includes trades, cash and capital events processing)
Stakeholder Management - proven ability of managing stakeholders for project delivery
Communication Skills - ability to adapt communication style according to audience and occasion. Ability to influence and manage senior stakeholders but internal and external to the form

Cib-alternatives Investment Services Business Analysis Project Manager Resume Examples & Samples

Project Management - proven background in Project and Program delivery and methodology using Agile methodology (at least 7 years)
Enthusiasm & Influence - proven ability to drive and influence change within an operations and technology environment
Organization & Planning - proven ability to track and monitor multiple deliverables and give clarity and direction to all involved parties
Client Engagement - proven experience of interacting directly with internal and external clients

Cib-technology Investment Planning & Delivery Manager Resume Examples & Samples

Minimum 10 years Project Management experience
Minimum 5 years Programme Management experience
Experience in leading a management team
Strong Process workflow/management Experience
Strong Experience in Implementation and Deployment planning and execution experience
Strong Incident and Problem management experience (ITIL certification preferred)
Strong Communication skills, especially in providing executive level updates and reporting
Able to manage multiple programmes of work with multiple business and technology stakeholders
Background/previous work experience and track record of handling similar competency function preferred, especially with regards to managing and supervising work in APAC region
Experienced in Investment management and budget and capacity management
Agile project management experience is a plus
PMP or Prince2 is a must

Investment Product Associate Resume Examples & Samples

Key point of contact for PCA's on investment solutions
Respond to inbound calls from advisors and sales assistants
Make Outbound calls to promote products
Manage Product Mailboxes
Assist in developing investment proposals (help me understand their role here)
Scheduling of training and appointments
Coordinate Weekly CWM Advisor call; including material production, speaker coordination, participation tracking
Ghost write congratulatory/recognition notes to the field
Contribute content to the CWM Weekly Emails
Preferably 2- 3 years of experience in financial services focused on investment products
Candidates should have firm understanding of financial markets and instruments
Strong written skills verbal communication skills
Ability to prioritize and multi task
Series 7 registration 65
Proficient with MS Excel and PowerPoint
Must be able to demonstrate flexibility and adaptability and ability to work under pressure

Investment Service Representative Resume Examples & Samples

To provide a superior client experience to RBC Direct Investing clients with friendly, professional, efficient and knowledgeable service
To be able to develop your telephone skills in accordance with DALBAR skills and behaviors scoring and IPSOS Reid client feedback
To be able to identify client centric sales opportunities that benefit our clients and strengthen their relationship with RBC Direct Investing while helping to grow the business
To ensure these responsibilities are carried out accurately and within the securities regulator (IIROC) guidelines and requirements
To complete all client transactions efficiently, accurately at first point of contact whenever possible
Adheres to “Know Your Client” and “Suitability” of trade rules and ensures the client has value to meet trade settlement obligations
Must be available to startSeptember 22, 2014
Applicants must have: Canadian Securities Course, Conduct Practices Handbook, Derivatives Fundamentals Course, and the Options Licensing Course
Superior ability to multi task
Strong analytical and attention to detail skills
Strong computer skills
A minimum of1 - 2years experience in a client service role
Personable and professional telephone skills
Strong English communications skills are essential
Client experience and sales orientation, driven to help meet clients needs
Strong team building, problem resolution and initiative is a must
Above average keyboarding and internet/computer navigation skills
Above average ability to multi task

Investment & Retirement Planning Associate Resume Examples & Samples

4 years investment industry experience
Well-grounded in portfolio management, asset allocation methodology and RBC Wealth Management’s platform
Extremely strong customer service perspective
Effective organizational skills to manage multiple priorities and meet tight deadlines
Excellent communication and interpersonal skills to facilitate working with a varied and demanding retail sales-force in a fast-paced environment
A high degree of professionalism in interactions with clients/partners and the ability to work as a team to always do what’s best for our clients
Proficiency with Microsoft Office programs and the ability to learn and become proficient with multiple software tools
4 years investment consulting/wealth management experience preferred
Series 7, 63/65 or 66 or ability to obtain within one year
Willingness to work on appropriate industry designations (CIMA/CFA/CFP)
Satisfaction StudySM, the company announced today. (as of May 9, 2013)
RBC maintains consistently high credit ratings:S&P: AA-; Moody’s: Aa3; Fitch: AA; DBRS: AA (as ofJanuary 31, 2014)
Based onmarket capitalization, RBC is the 15th largest bank in the world and the sixth largest in North America. (Bloomberg as ofJanuary 24, 2014)
RBC employs more than 79,000 full-and part-time employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and44 other countries

Cees-administrator, Investment Team Resume Examples & Samples

Control with exception reporting and maintenance of all pending, regular and annual contributions via the CP system
Ensure timely processing of Monthly/Quarterly/Bi Annual/Annual Regular Contributions
Preparing instructions to / liaising with Fund Managers / other internal RBC departments (e.g. Treasury.)
Checking accuracy of deals placed with Fund Managers
Monitor Exception Reports on a frequent basis to maintain adequate control of investment process
This is a JFSC Category C position and a recognised qualification would be preferred but not essential(ICSA, STEP, ACCA)

IMD, Gsam, GS Investment Partners Resume Examples & Samples

Develop and maintain tools for risk management, risk and performance reporting, risk and performance analysis, and investment analysis across multiple asset classes
Programming skills are a core requirement
Mathematical skills are required
PhD qualifications preferred
Strong communications skills are essential
Strong background in a quantitative discipline
Intelligence, creativity, and problem-solving skills
A self-starter, should have ability to work independently as well as thrive in a team environment

Investment Portfolio Credit Manager Resume Examples & Samples

Analyze securities purchased for the banks’ investment portfolios to ensure
Bachelors degree in Finance, Accounting, Economics or a quantitative field
8 to 10 years of relevant work experience
Comprehensive understanding of securitizations/structured finance
Fundamental credit training or relevant work experience analyzing credit-based

Program Manager Investment Platforms Resume Examples & Samples

Work closely with the CG business group and selected Financial Advisors to capture Field input
Ollaborate with Wealth Management executive leads to create solutions for advisory and non advisory accounts
Manage process and/or provide reporting on program progress
Oversee execution of strategy via project management frameworks and SDLC standards
Develop various presentations for senior/executive level management
Develop and deliver presentations regarding initiatives and business strategies
Develop Business Requirements Documents, Wireframes, and Test Plans for technology development & implementation
Escalates and coordinates decision making across the franchise as required
Proactively identifies opportunities to improve functions with significant impact across departments
Is a thought leader
May be involved at senior levels and with the BU in developing the planning, strategy and high level solutions for the Wealth Management Division
10+ years’ experience in financial industry and/or business management. Knowledge related to the above businesses and Wealth Management preferred
Proven ability to work across global departments to influence others and build strong relationships
Proven ability to manage a large team
Ability to delegate effectively and manage delivery/execution of a wide range of tasks and initiatives
Ability to work independently and possess a strong sense of accountability/ownership
Ability to use desktop tools to develop presentations for senior management

Investment Due Diligence Analyst Resume Examples & Samples

Perform investment due-diligence on alternative mutual funds including a review of personnel, process, risk management and past performance. Reviews are conducted via a combination of onsite meeting and calls with the fund manager
Source new investment ideas based on current and future opportunity sets
Work closely with the internal product management team and liaise with other areas including legal, risk and compliance as needed
3 to 5 years investment experience with strong knowledge of the investment management industry and traditional/alternatives fund structures
CFA, CPA, and/or CAIA preferred, but not required

Portfolio Services & Investment Trust Operations Resume Examples & Samples

As the key contact in the portfolio management support function, providing proactive and effective operational support for internal stakeholders, including portfolio managers, traders, portfolio specialists, sales team, and other operations teams
Liaison with Trust Banks, custodies, and the Investment Trust NAV calculation service provider to ensure smooth settlement, fund posting, and NAV calculation
Liaison with State Street team to ensure prompt and accurate trade processing and reconciliation
Accountable for review and resolution of all operational exposure issues for portfolio accounts
Perform trade execution support role, cash / position management support, and review reconciliation breaks for resolution
In accordance with Japanese Investment Trust fund accounting rules and procedures, instruct fund posting promptly and appropriately
Check daily cash flow and instruct for accurate posting
Perform daily market price review and check the detailed background when necessary to ensure accurate Investment Trust NAV calculation
Participation in and contribution to global / local projects and initiatives
Using strong business sense and judgment to identify potential risk areas; making appropriate recommendations and highlighting those risks via the appropriate escalation channels
Self-motivated and possess a positive working attitude
Works with a high degree of independence
Work well in a team environment
Work experience in the financial industry
Good knowledge of financial products and market
Must have strong communication skill in both Japanese and English
Able to interact and communicate effectively across cultural and hierarchical lines within the firm
Ability to identify problems and potential risks as they arise and understand when they need to be escalated
Computer literacy (Excel, Word, Power Point, etc.)
Knowledge of Investment Management Business related Japanese Laws and regulations
Japanese Investment Trust fund accounting related skill and knowledge
Investment Trust related reporting / documentation skill

Alternative Investment Partners Resume Examples & Samples

Prior experience required in private equity fund of funds
Good knowledge and experiences in working with North American business practices
Strong verbal and written communication skills
Extensive quantitative modeling experience
An excellent understanding of financial concepts and valuation
Exceptional project management and execution skills with an ability to meet challenging deadlines while maintaining a high degree of quality and accuracy
A high level of intellectual curiosity and interest in global macroeconomic investment trends

Morgan Stanley Alternative Investment Partners Resume Examples & Samples

High-caliber graduate with a degree (or equivalent) from a top institution
1 - 2 years of relevant work experience (prior experience in Investment Banking, Equity Research, Management Consulting or Private Equity preferred)
Ability to communicate effectively in both written and verbal English; Chinese/Mandarin language skills will be an advantage
Strong knowledge of Excel
High level of interest in investing and in the global macroeconomic environment
An individual who has strong analytical and quantitative capabilities, who is intellectually curious, insightful, adaptable, detail oriented and, a team player, with a strong work ethic and a positive attitude
An individual with the ability to meet challenging deadlines while maintaining a high degree of quality and accuracy of work product

Investment Supervision Director Resume Examples & Samples

Develop and implement procedures to both ensure and verify that the investment policies and strategies of each fund are complied with
To measure the performance of the funds
To ensuring availability of up to date information on portfolio performance

Investment Performance Projects Manager Resume Examples & Samples

Ownership of some workstreams within the Portfolio Analysis projects, including research, analysis and defining business requirements
Maintaining the high-levels of project governance with the overall team
Preparation of presentations for meetings with the relevant people involved in the projects
Creation of test cases and testing activity to ensure performance projects are delivered on time and with correct functionalities
Proactive in working with the rest of performance team and users to identify enhancements and opportunities within performance reporting tools for our ultra high net worth clients
Participating in the Asset Management University AMU Learning and Development programme
Bachelors or Master Degree in Finance, Economics, Mathematics, Engineering or Science
3-5 years relevant experience in a portfolio analysis or similar role is a plus
Exposure to financial services industry and/or interest in Wealth Management
Project management skills and ability to think strategically
Strong preference for multiple languages
Superior quantitative & qualitative analytical aptitude
Strong attention to detail and solid organizational skills
CIPM certificate is a plus
GIPS compliance knowledge a plus
Strong proficiency with MS Excel, Word, PowerPoint

Investment Service Representative Resume Examples & Samples

Provide RBC sales force with sales and fulfillment support
To provide RBC Direct Investing clients with responsive, effective, knowledgeable, accurate securities order execution service and problem resolutions
To ensure these responsibilities are carried out within the context of securities regulation with particular attention to know your clients and suitability rules
To complete all client transactions accurately at first point of contact
Promotes a professional image of RBC Direct Investing through effective order handling and/or professional outbound communication skills
Applicants must have: Canadian Securities Course, Conduct Practices Handbook
Excellent interpersonal skills and sales abilities
A minimum of 1 - 2 years experience in a client service/sales role
Friendly and professional telephone skills
Client service orientation, driven to help clients meet needs
Strong team building, problem solving skills and initiative

Alternative Investment Partners Resume Examples & Samples

Oversee execution of US middle and back office activities
Serve in an account manager capacity, directing administrative, reporting and accounting activities for both discretionary and advisory hedge fund portfolio clients
Manage existing and develop improved processes for account
Focus on portfolio execution oversight and support
Coordinate transactional activities between HFS team, fund administrator, and clients
Receive, verify, and process client instructions
Documentation management oversight
Provide daily oversight over administrator’s transactional and valuation functions, including final valuation approvals
Respond to administrator inquiries regarding client investments, AML, and proxy voting issues
Work closely with HFS’ Portfolio team to generate client proposals and new business
Secure investment capacity allocations within limited availability funds
Proactively identify opportunities and implement suggestions improving scale and overall client experience
Minimum of three years’ prior experience in an investment servicing or fund administration role
Prior working experience with fund of fund, alternative investment firm or global financial service / fund administrator is preferred
Bachelor degree from highly competitive school is desired
Knowledge of hedge funds, the offering process and private placement administration
Advanced MS Excel and/or Access, including intermediate-to-advanced VBA background
Experience with report design preferred
Strong attention to detail
Resourceful and self-motivated, able to demonstrate creative approach with limited guidance
Demonstrated analytical, communication, and interpersonal skills
Strong verbal and writing
Ability to produce high-quality work independently and under demanding and shifting priority conditions

Investment Performance & Risk Analyst Resume Examples & Samples

Knowledge of GIPS Performance Presentation Standards
Knowledge of source systems for data and ability to verify for accuracy
Ability to perform mathematical calculations (or analysis)

Investment Lab Associate Private Bank Investment Lab Resume Examples & Samples

Develop comprehensive investment strategy incorporating a client’s total balance sheet and cash flow needs, including their philanthropy goals as well as their generational transfer strategies
Design strategic and tactical multi asset class allocations for clients of the North America Private Bank, using proprietary models and tools
Analyze manager performance qualitatively and quantitatively and develop portfolio implementation recommendations in line with client objectives and portfolio parameters
Create new and utilize existing analytical tools to try to identify risks in existing client portfolios, recommend investment opportunities or simulate portfolio values
Develop client presentation materials incorporating performed analytics; attend client meetings and relay findings to the client in an effort to secure new or existing investment assets
Analyze asset classes, strategies, products, investment techniques and present findings to colleagues, clients and senior management
An understanding of Modern Portfolio Theory, optimization techniques, portfolio simulation, asset allocation, statistical concepts, and financial markets and instruments is important. Knowledge of traditional and alternative investments including Hedge Funds, Private Equity and Real Estate, as well as capital markets vehicles such as structured notes and equity and fixed income derivatives, option strategies and taxation of investment products
Expertise in Excel and PowerPoint required
Experience using Bloomberg, Morningstar Direct and Zephyr preferred
Ability to work well in teams and lead and manage projects from development to delivery
Undergraduate background in Finance, Economics, Business, Statistics, Mathematics or Science valuable
FINRA Series 7, 63 and 65 or 66 needed
CFA or a commitment to pursue the certification desired

Ipb-investment Product Support Officer Resume Examples & Samples

Ensure timely execution of investment transactions, generating sales and surveillance reports, administer system access and co-ordinate with Technology and Operations
Assist to handle queries and prepare documentation for all the products offered by the department and prepare MIS for product teams
Assist in system maintenance, working on system enhancement and other wealth management related projects and also take part in Self Assessment for the department
Diploma with 4 years of banking experience
Strong organizational and follow up skills
Strong Computer skills especially MS-Excel
Work well in team environment and can effectively coordinate efforts of others
Good judgment and problem solving skills
Flexibility to meet current demand of business
Able to work independently, to multi-task with good time management skills

Investment Lab / CM Head Resume Examples & Samples

7+ years of experience in the financial services industry. Relevant experience includes wealth management, investment advisory, financial planning, asset allocation, product management and wholesaling, investment research and analytics
Excellent communication, presentation, team-building, and sales skills
Advanced degree required. CFA highly desirable
Series 7, 24 and 66 required. 150 days to obtain licenses
Travel flexibility

Global Investment Lab Analyst Resume Examples & Samples

Develop new and maintain existing analytical tools for risk analysis, portfolio construction, performance forecasting utilizing such quantitative techniques and methodologies as multi-factor/regression analysis, optimization, Monte Carlo simulation and others
Collaborate with other internal stakeholders such as Risk, Model Validation, Compliance, Technology to ensure compliance with regulatory bodies
Design strategic and tactical multi asset class allocations and customize for client portfolios using proprietary models and tools. Develop comprehensive investment strategy incorporating a client’s total balance sheet and cash flow needs, including their philanthropy goals as well as their generational transfer strategies
Conduct customized analyses addressing various wealth planning, investment and risk management issues by leveraging resources across the organization including the Office of the CIO, Capital Markets, Global Managed Investments, Wealth Planning, Citi Trust and Investment Finance
Deep understanding of Modern Portfolio Theory, asset allocation techniques, portfolio simulation, risk analytics derivative and bond valuation, financial markets and instruments. Familiarity with quantitative financial methodologies such as Monte Carlo simulation, efficient frontier, optimization, and regression
Financial tools like Bloomberg, Morningstar, Excel statistical and quant models
Knowledge of traditional and alternative investments including Hedge Funds, Private Equity and Real Estate, as well as capital markets vehicles such as structured notes, equity and fixed income derivatives, option strategies and taxation of investment products
Understanding of software development concepts and experience in VBA, MATLAB, R or a similar scripting language programming
Soft skills including self-starter, team player, communication, proactive, willing to help and pitch in
Willing to travel for deepening client relationships and broadening coverage
Master’s degree or higher; CFA preferred
At least 5 years of relevant experience
Undergraduate background in a quantitative discipline, such as Economics, Statistics, Mathematics, Physics or Engineering valuable. Advanced degree (MS or Ph.D) a plus
FINRA Series 7, 63 and 65 or 66

Investment Bank & Global Asset Management Senior Reward Advisor Resume Examples & Samples

Act as the senior reward advisor for the global Investor Client Services (ICS) business within the IB; partnering with the ICS HRBPs, ICS lead Analyst, IB Talent Partner, IB Head of HR, and ICS business Senior Managers as required
Take the lead on the reward strategy for the IB & Global AM as it relates to recruiting and strategic hiring including the ongoing development of reward priorities, training to recruitment colleagues, and ensuring all commitment requests are fully diligenced and are "CEO ready"
Overall ownership of the IB & Global AM "commitments" process, in particular leading the team's "dotted line" partners in this regard; Regional Reward and Poland Service Center "PSC" [as it relates to this process]
Own and drive the Market Data strategy for the IB & Global AM
Act as a senior member of the IB & Global AM reward team, advising and participating in the team's activities which may include Financials, Governance, Core Cycle, Hiring and Risk & Regulatory initiatives
Ensure that the IB and Global AM's requirements are represented within the Group Reward CoE activities and implement/drive such activities where appropriate
Act as a Subject Matter Expert (SME) ensuring that the IB and Global AM's requirements (and ICS in particular), are represented in the design and implementation of the Fusion Workforce Compensation tool (replacing CPi)
Develop a close working relationship with the ICS aligned client facing Analyst, based on mutual respect
LI-SM1

Investment Fund Specialist Resume Examples & Samples

Consult clients and client advisors on the bank's investment fund product offering (open-architecture) and portfolio construction
Develop strategy to increase investment fund penetration
Identify and analyse demand trends for clients of your designated market within WM HK
Participating in meetings with client advisors and clients
Presenting at client and client advisor events on investment funds
Participating in meetings with investment fund managers
Close co-operation with the various investment fund stakeholders in the bank, e.g. Investment Bank and Global Asset Management
Manage a portfolio of bigger and smaller projects and initiatives with an end-to-end responsibility to help us improve our investment fund offering and delivery concept
Deep knowledge of the investment fund industry with several years of working experience, ideally in a consulting or senior sales role
Strong organizational skills and ability to meet tight deadlines
Be an effective communicator at all levels
Strong verbal comprehension and writing skills with regards to investments are a must
Strong track record of being able to implement and deliver
Excellent comprehension and writing skills in English and Mandarin (fluency in Cantonese is a plus)
Good social skills and strong team player
CFA or CAIA certification will be an asset
Application for license type 1 and 4 for HK will be required

Investment Bank Audit Manager Resume Examples & Samples

You have a good understanding of the financial market, of operational aspects, as well as process flows within and between banks / counterparts, and a thorough knowledge of local regulatory requirements
You are a flexible and committed team player willing to travel to other UBS locations in Europe for audit assignments
You are fluent in English

Investment Bank & Global Asset Management Senior Reward Advisor Resume Examples & Samples

A thorough understanding of Reward concepts and strategy is preferred, although candidates with Business Partner, Core Cycle, Analytics, Talent Acquisition or other relevant experience will be considered. Experience/understanding of the ICS business within an Investment Bank (Securities trading, sales, research etc.) Ability to work with all levels of the organization, including senior management with strong communication and consulting skills
Strong organizational skills, with the ability to manage multiple concurrent assignments and stakeholders with good problem-solving skills
Experience of working with external market data providers would be an advantage
Attention to detail, computer Skills: Advanced Excel, Word and PowerPoint skills

Infrastructure Investment Executive Resume Examples & Samples

Analyze infrastructure investment opportunities across OECD Europe and potentially further abroad
Assist in originating and executing investments including due diligence, contract negotiation, financing and decision-making
Manage portfolio assets
Evaluate and monitor asset and portfolio performance and asset valuations

Investment Bank & IT Risk Manager Resume Examples & Samples

Build strong relationships with Senior IT & Business stakeholders across the function to pro-actively identify risk issues, drive remediation activities and continuously improve IT Risk services
Undertake proactive thematic IT risk reviews in order to proactively identify risk issues
Work with Compliance to act as the HK IT Regulatory SME and support IT in maintaining compliance with HK regulations
Support the implementation of the Independent Control Assessment Process within the function region and undertake independent control testing when required
Ensure an IT Risk/Security awareness campaign is effectively delivered to the IB function
Assisting with IB functions bank’s Sarbanes Oxley (SOX) self certification process. This includes helping IT understand control standards and their implications for specific applications as well as assessing IT’s adherence to control standards
Manage and deliver regional specific IT Risk service improvement programs
Undertake root cause analysis of significant incidents to ensure proposed remediation actions are fit for purpose and will sustainably fix the issues
Provide functional and regional specific thought leadership for IT Risk topics and input into the Global IT Risk strategic direction
Contribute to the definition of IT Risk requirements and represent IT Risk APAC region in the inter-divisional working groups (e.g. for policy development, regulatory engagement)
Produce IT Risk reporting on key services, audit, risk and regulatory issues and attend any appropriate IT and Business Risk committees
Develop and deliver IT Risk briefings and Threat Management workshops as and when required
Coach and mentor junior staff in accordance with the UBS behaviours and values
Actively manage IT Risk risks in accordance with the Group’s Risk framework across the region. In particular, ensure risks are properly evaluated, recorded and mitigating action plans are monitored through to completion
Implement the IT Risk governance model and supporting methodologies to ensure the CTB portfolio is adequately controlled
Maintain an external network with other senior IT Risk professionals as well as applicable risk forums/bodies

Am-investment Middle Office Trade Support Analyst Resume Examples & Samples

Support users in the day to day aspects of Portfolio Management
Client Service, Brokerage Operations or Technology background in Wealth Management support
Ability to communicate with all levels within the Line of Business

Investment Services Representative Resume Examples & Samples

Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Examination (CPH) or registered with the IDA
Completion of/in the process of completing the Derivatives Fundamental Course and Options Licensing Course (COC)
Previous experience working directly in a highly client driven environment, typically acquired with at least 6-12 months experience in a call center environment
Willingness to work flexible, extended hours and weekends as required
Must be able to speak and understand Cantonese and Mandarin

Associate Gc-investment Mgmnt Resume Examples & Samples

JD degree from an ABA accredited law school and member in good standing of a state bar is required
Demonstrated experience as a counsel at a law firm or in-house at an investment advisor or broker-dealer or banking entity is required
Deep knowledge of investment adviser regulation is required
Working knowledge of ERISA and IRC, particularly with regard to prohibited transaction exemptions is required
Experience with broker-dealer distribution channel for investment advisory, trust and fiduciary service is strongly preferred.6+ years relevant experience preferred
Ability to handle simultaneously individual client contractual negotiations as well as business line strategic initiatives
Experience supporting business partners through regulatory examinations
Expertise in development of effective policies, procedures and controls in partnership with the business and Compliance
Strong sense of personal accountability and client focus
Strong oral and written communications skills
Experience with brokerage and pension products
In house experience a significant plus
Demonstrated ability to coordinate outside counsel a plus

Investment Solutions Representative Resume Examples & Samples

Registered Investment Sales Representative (RISR)
Completion or working towards FP I
Basic Environmental Knowledge
Basic Business Acumen
Working/Advanced knowledge of BMO Investment products
Projects a professional presence and confidence
Problem solving - Quickly recognizes potential customer investment needs based on their Customer Connect profile and / or conversation while completing transactions
Provides basic information about potential solutions and their benefit to the customer
Ability to adapt to a changing industry environment, and maintain currency of skill
Works cooperatively and productively with others

Head of Investment & Corporate Banking Finance Resume Examples & Samples

Strategy: 40%
Manage all relevant financial information, ensuring early identification of business improvement opportunities & business risk exposure
Strategize as to what information requirements are most desired and appropriate for each of the many Executive users of the management reporting
Ensure requisite staffing, systems and capabilities for all reporting groups to provide compliant, accurate and timely reporting for current & future requirements
Lead and coach the team of professionals ensuring the team is best structured to meet the many reporting requirements
Create & promote continual reliable and credible communications with all I&CB groups and key contact groups
Strategize as to the most appropriate structure of the financial framework, in order to facilitate the numerous reporting views
Evaluate and opine on the most appropriate financial structures to accommodate the many complex structured transactions, the recording of which requires accommodation of cross border activity, in addition to pillar revenue sharing agreements
Evaluate changes in Bank policies & systems and possible impacts on the Line of Business, including changes in Bank regulatory policies
Ensure the awareness of management decisions impacting on the financials, from a management and legal entity perspective
Maintain and foster excellent relationships with various partners across the organization enabling flow of communication and opportunities for collaboration, assisting the LOB in achieving their goals and those of the organization
Advisory & Relationship Management:40%
Assist LOB in interpretation of accounting policies, risk guidelines and regulatory governance and ensure that new and existing initiatives are in compliance are compliance with existing Bank & regulatory guidelines
Vetting of financial initiatives requested by I&CB management committee to achieve the goals and objectives
Propose financial strategies and solutions that are in line with LOB objectives to maximize shareholder value
On a proactive basis, perform a pivotal leadership role to interface with other groups in the Bank, as appropriate, to achieve objectives of improved efficiency and reporting innovations
Understand cost drivers and charge processes, advise LOB of charges and partner with them and service areas to achieve cost reductions, service efficiencies and reporting changes
Advise as to whether cost/ revenue sharing practices discussed meet the Bank’s requirements as well as legal entity regulations
Advise in accommodating unusual transactions, ensuring they still comply with Bank’s standards
Advise management of any changes in financials that may impact future results
Monitor changes in accounting industry and Bank’s methodologies and advice on impact
Advise LOB on all matters concerning balance sheet management and capital usage. Including current and future impacts of capital allocation on the business results
Advise Business Heads and Heads of Legal Entities on compliance of financials with new governance attestations for sign off
Evaluate and advise requirement to alter, reduce or add resources in line with changing requirements
Managing team of professionals and ensuring resources adequately employed
Capital Markets Stress Testing: 20%
Spearhead the Capital Markets Internal Capital Adequacy stress testing process and the Capital Markets Ad Hoc stress testing framework
Head the Capital Markets stress testing working committee, ensuring the appropriate resources are at the table
Facilitate feedback and present results to the Capital Markets Stress Testing Steering Committee
Develop and foster relationships with related key areas and stakeholders; specifically Economics, material risk groups, enterprise governance and representatives from the other pillars
Participate and facilitate the review and interpretation of results
Prepare presentations for the various audiences
Ensure adequate documentation to support stress tests to meet audit, internal governance and regulatory requirements; including back up worksheets, assumptions, challenge sessions
Provide advice, guidance and direction given the ambiguous nature of the stress testing
Act as primary interface between Enterprise stress testing units and pillar to communicate changes and requirements of stress testing
Keep abreast of outcomes of and enhancements required for stress tests as the framework progresses – i.e. feedback from regulators and enterprise governance units
Act as the primary point of contact for all stress testing requirements and ensure consistency in techniques and stress testing approaches
Assist with development of models to facilitate the rapidly changing stress testing requirements and ensure models or tools evolve to meet the increasingly stringent standards
Ensure usage of key learnings through sharing of results and enhancements to test
Identify and document system and resource limitations
Coordinate improvements required to effectively manage improvement progress
Excellent knowledge on business structure, operations and internal allocation methodologies
Accounting and regulatory issues and requirements
Regulatory and economic capital rules and regulations
Funds transfer pricing, spread and liquidity concepts
Risk measures and loan loss methodology – risk factors associated with Investment and Corporate Banking products
Knowledge of investment banking products and accounting regulations
Legal entity structures
Tax transfer pricing
Credit derivatives and off balance sheet instruments
Knowledge of the business, products offered and financial recording of transactions impacts business decisions
Strong understanding of credit, market and operational risk as it relates to the various capital measures and how it influences business practice
A CPA, CA designation is preferred
15 years of financial services experience
Advanced leadership skills in order to manage and motivate a team of professionals in an environment with multiple deliverables and tight deadlines
Experience in partnering with and presenting to Senior Executives
Experience with interacting at the Executive level. High requirement for ability to communicate complex financial information concisely. Requirement to synthesize large amounts of data into key message
Strong ability to tailor messages and deliverables to various Executives depending on style and personal preference
Outstanding decision making capabilities and strategic planning
Skill in diplomacy to obtain collaboration between several Executive stakeholders
Exceptional client focus and relationship management skills
Ability to manage multiple tasks and meet timelines without compromising the integrity of the information
Ability to influence senior executives and other internal stakeholders
Representing the investment and corporate banking finance team and leading the focus on client service to instill credibility in the team
Ability to effectively allocate resources in a constantly changing matrix environment
Attentive to detail At our company, we have been helping our customers and communities for over 195 years. Working with us means being part of a team of talented and passionate individuals with a shared focus on working together to deliver great customer experiences. We stand behind your success with the support you need to turn your potential into performance

Manager, Investment Credit Analysis Resume Examples & Samples

Thorough knowledge of institutional fixed income/derivative products
Solid Understanding/experience of investment credit analysis
Knowledge/experience of securities markets regulatory environment, securities tax law, and internal policy / internal bank credit culture
Excellent analytical skills including knowledge in financial modeling and investment security credit analysis
Strong risk management skills and leadership abilities
Ability to prioritize competing responsibilities working in a fast-paced, highly pressured work environment
Proficiency in computer software, especially Microsoft Word, Excel, Powerpoint (Intex experience preferred)
Good interpersonal contact skills
Ability to interact with senior management

Investment Guideline Associate Resume Examples & Samples

Ensure mandated guidelines are translated into formats that can be coded into monitoring systems and accurately reflect trading restrictions for the particular client account
Coordinate the breach investigation process and management reporting
Assist with analysis of client Investment Management Agreements (IMAs) and seeking clarification of guidelines from the business where necessary
Maintain the system(s) from the account on-boarding process forward
Investigate all breaches that occur
Contribute to the construction of procedures and controls in relation to trade guideline monitoring
Assist with projects for the implementation of version enhancements
Bachelor’s degree required and/or commensurate professional experience
5+ years experience in a financial services environment, preferably within Asset Management or in a legal/regulatory/data management environment
Experience of automated investment restrictions systems such as Blackrock Solutions, Charles River etc
Professional qualifications in Business Administration, Accounting, Finance or Law/Legal systems preferred
Working knowledge of the investment decision making and trade implementation process
Basic understanding of operational risk management controls and legal terminology
Business writing experience and ability to express self clearly in writing
An analytical and detail-oriented approach and the ability to provide practical solutions
Working knowledge trading and trade guideline systems
Working experience with front office in Asset Management House

Investment Center Team Manager Resume Examples & Samples

Manages a team of Investment Center Financial Service Representatives. Responsible for driving measurable performance and meeting departmental goals, while adhering to HR policies and procedures
Coaching for inbound and outbound service to sales/deepening, acquisition and retention
Partners with department leadership and supporting lines of business to improve processes that impact both the client and associate experience. Initiates process improvements and follows through to resolution
Detailed understanding of equity and option trading
Series 7 & 63/66 required
Series 9 & 10 preferred; if not currently held MUST be obtained within 120 days of start date
Positive and professional attitude
Ability to work flexible shift assignments
Ability to develop and maintain business relationships
Posting Date: 09/10/2014

Investment Team Manager Resume Examples & Samples

Supervise the day-to-day activities of 10-15 Investment Consultants
Deliver core business performance metrics
Ensure Investment Consultants deliver a consistent client experience and continuously improve client satisfaction, conversion and retention
Perform quarterly performance reviews of all team members and provide constructive feedback
Work with the Sales Manager in the hiring and training of new personnel
Assist with ongoing BAC/Merrill Lynch product and sales training
Supervise delivery of customer service determined appropriate for ICs
Insure the schedule adherence and proper call management of all team members in relation the contact center strategy
Conduct monthly call review sessions for ICs and provide comprehensive feedback to ICs on their performance
Responsible for molding the behavior and professionalism of all team members
Promote work unit improvements to current workflow processes
Resolve all client issues that are elevated to supervisory level
Series 7 and 66 (63/65)
Series 9 and 10 preferred; if not currently held, MUST be obtained within 120 days of start date
Solid knowledge of Retirement and Savings Products
Excellent analytical and technical skills
Ability to perform in an explosive growth environment that is experiencing constant change
Ability to lead and motivate a diverse group of employees
5 + years of Financial Service Experience
Proven history of success in developing, retaining and expanding client relationships

Investment Bank Change, Project Manager Resume Examples & Samples

Knowledge of OTC Derivatives products (Over-The-Counter, primarily Rates and Credit derivatives)
Understanding of Client communication protocols and documentation requirements
Hands-on experience (lead or team member) on the implementation of Dodd Frank CFTC (Commodity Futures Trading Commission) Business Conduct requirements
Previous experience in migration of business activities, ideally in OTC Derivatives
Understanding of key parameters associated with migration front-to-back, including Operational, Collateral, Risk Management, Capital and other aspects
LI-SL1*

Investment Bank Change, Project Manager Resume Examples & Samples

Demonstrated successful experience in a Controls-related role within an Investment Banking organization
Hands-on experience managing delivery of significant organization change, such as establishment of new department, requiring re-design of related policies, procedures, and controls
Experience interacting with U.S. regulators and solid understanding of regulatory requirements and definitions in Controls space
Prior experience in Internal Audit function in an Investment Bank, or delivery to successfully address Internal Audit requirements

Investment Bank Technology Risk Lead Resume Examples & Samples

IB Risk & Control Self Assessments (RCSA) activities in compliance with Tech Risk and Group policy
Stakeholder Management will include IB global and regional Executives, and O&T global executives
Design and implementation of the IB Technology Risk operating strategy
Member of the Group Technology Risk senior management team, working with other risk partners across Barclays Group to leverage best practise, and drive continual improvement within the risk agenda
Manage both internal and potentially external resources (onshore and offshore) in all business clusters to ensure successful delivery of all day to day services and ongoing risk management programmes in line with strategy and business expectations. Teams will comprise of variety of roles and differing skill sets
Inspire others to work together to achieve the strategic vision by building, leading, managing and motivating high performing global teams to high standards and excellence
Provide clear strategic direction to the team whilst ensuring Barclays Guiding Principles are communicated and upheld
Significant experience in the field of Technology Risk management, ideally as applied to Technology Infrastructure components (OS, DB, Networks etc)
Relevant industry Regulatory engagement and experience in dealing with Regulatory requests
Experience in Sarbanes-Oxley programme delivery, including: assessment and remediation implementation in both application controls and infrastructure controls
Experience in management and delivery of major change and organisational transformation programmes
Experience in an investment bank, with knowledge of investment banking products
Experience of working with key IB regulators such as the Federal Reserve and the Monetary Authority of Singapore
Outstanding ability to assess, quantifies, effectively communicate and gain buy-in to risk management by Senior Technology management
A full and comprehensive understanding of risks mitigation techniques within a Technology environment,
Superb relationship building/maintenance skills across all levels of Technology Management and teams
Excellent negotiation skills and demonstrable experience using these skills with key Risk partners (Regulatory bodies, Internal Audit, External Audit, ORM, IRM etc)
Excellent understanding of relevant and up-to-date technical knowledge, applications and techniques
Utilises knowledge of Barclays cluster and Risk industry to deliver best and innovative solutions
Demonstrates on-going current knowledge of breadth of services and products offered by Barclays and particularly the business unit supported. Utilises this knowledge to anticipate potential risk areas and works with management on devising the appropriate mitigation techniques
Proactively transfers technical knowledge and strategic business insight to the team by mentoring line managers to ensure technical knowledge is cascaded
Strong knowledge of key issues regarding IT Security and Information Risk Management (Record Retention, Data Privacy)
Maintains deep understanding of Barclays business strategic goals as well as knowledge of the financial services industry and best practices of leading technology organisations
Drives to deliver major change initiatives across the Group
Maintains deep understanding of Group Technology wide objectives, interactions, issues and risks
Demonstrates ability to manage large global programmes in complex varying environments. Utilises practical experience of managing and implementing change to guide colleagues and to mitigate potential risks
Works collaboratively with external stakeholders to ensure appropriate involvement in large scale change management initiatives in IB and Technology Risk
Improves business processes by aligning business goals with design of portfolio of programmes
Displays the ability to procure and implement additions to portfolio while maintaining fiscal responsibility
Utilises the ability to shape thinking of key people in multiple functional areas to chance decisions, opinions, attitudes or behaviours
Influences positive relationships with key stakeholders in Technology, customer groups, and external stakeholders e.g. regulatory, professional associations and industry professionals
Delivers results in more favourable customer/ colleague opinion, improvement in external perception and increases support for programmes and services
Shows insight into management of multi-cultural, dispersed teams by adapting style and approach when required
Encourages a collaborative approach to delivery of Technology to business function to ensure integrated solutions are offered to business problems
Degree or qualified by appropriate experience
Relevant professional qualification (CISSP, ITIL, CISA preferred)

Investment Analytics Analyst Resume Examples & Samples

Reconciling daily investment portfolio holdings
Communicating and working with internal and external parties to resolve exceptions
Researching security characteristics and fixed income securities modeling
Case Management and Knowledge Management
Superior communication and computer skills together with a well-developed ability to work effectively in a team-oriented environment
Excellent problem solving skills as well as ability to work with large amounts of data
Ability to meet tight deadlines and to effectively prioritize multiple projects
1 to 2 years of professional experience desired (depending upon degree level)

Program Manager Investment Solutions Resume Examples & Samples

Partner with product management on identifying and defining the strategic initiatives and projects for the platform transformation
Play the lead role in articulating the scope, business requirements and user-acceptance criteria of all Investment Solution initiatives
Coordinating across business users, operations and technology teams to ensure solution design responds to the requirements in a cost effective and efficient manner. Trade off complexity and cost vs. business need
Prepare and maintain BRDs, presentation and project materials

Investment Bank Recruiting Team Lead Resume Examples & Samples

Commercial experience (in-house or RPO firm) in search and selection within IB/Front Office businesses
Strong client focus and profound advisory experience. Service delivery focus and true service oriented mind-set
Effective leader/manager, with the ability to delegate, coach and troubleshoot
Strong communicator and stakeholder manager with the ability to demonstrate strength to deliver sustainable results and implement change in challenging environment
Recognized as a credible and experienced interviewer (competency based), resilient and credible when dealing with high caliber clients and can recognize the need for a balance between speed of execution and a need for control
Excellent problem solving and time management skills
Demonstrable development and management of trusted partnerships with HRBPs, Reward and other HR colleagues
LI-SM1

Am-investment Middle Office Trade Support Analyst Resume Examples & Samples

Support users of the following Private Bank applications: Workstation, Topaz, Prism, and OMNI
Private Bank, Private Wealth Management or Private Client Services experience preferred
2 - 3 years of financial industry experience; Investment product knowledge a plus
Client Service, Brokerage Operations or Technology background is a nice to have
FINRA Series 7 required within 120 days of start date

Investor Global Investment Opportunities 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, and briefings for Senior Management
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

Consultant, Investment Performance Resume Examples & Samples

Completes rate of return and discrepancy
Return Calculations
Attribution Analysis
GIPS Standards
Dispersion Analysis
MS Excel (Intermediate or higher) - VBA knowledge a plus
Bloomberg
Factset
Advent APX

IT Short Term Investment Rates Desk Developer Resume Examples & Samples

Development of and execution of a strategic roadmap for the application set to attrition tactical / legacy solutions through migration of functionality to strategic platforms or projects (CAL)
Excellent Excel based development skills acquired in the financial industry and ideally in Fixed Income
Proven skills in complex C# and VBA programing within Excel
Experience with using financial mathematics libraries from within such applications. Mathematical understanding of a range of financial products including, Interest Rate Swaps, Interest Rate Futures, Forecasting and Discounting curves, FX-type products (e.g. FX Swaps, FX Forwards)
Solid business knowledge acquired from on-the-ground experience with front-office trading / sales

Investment Product Tax VP Resume Examples & Samples

Support product development initiatives including new funds, fund closures, new share classes, etc. and coordinating proper sign-off procedures
Support portfolio managers by evaluating tax consequences of investment decisions and providing any related structuring advice and coordinating proper sign-off procedures
Support business unit leadership by evaluating tax consequences of various business decisions
Work with external service providers and the business units to ensure that investor tax reporting is in place and operating appropriately across various jurisdictions
Work with service providers and operations/fund administration to ensure that tax compliance obligations are being met
Review of documentation including fund offering documents, investor application forms, etc
Support business units in preparing and evaluating RFPs and other business initiatives
Coordinating tax advice where necessary with external advisors, tax department leadership and the business units
Coordinating with other support disciplines (Legal, Operations, Controllers) to ensure that tax provisions, structures, policies, guidelines, etc. are understood and implemented appropriately and that other support functions are involved as necessary
Support TAM FATCA initiative
Monitoring and reviewing the tax structures of existing products and investments to ensure that the structures remain robust (e.g., evaluating impact of legislative changes, monitoring assumptions made during the structuring process)
Work with Investor Relations on addressing tax related questions from various investors
Actively participate in Industry bodies (AIMA, IMA, ICI, etc) and keep the business units updated as to impact of relevant tax developments
Experience with both traditional and alternative asset classes
Motivated, team oriented self-starter who is able to handle a broad range of tax issues and has the ability to work effectively and efficiently in an environment with all levels of personnel and is adept at working in a fast-paced, deadline oriented environment
Strong technical, analytical and organizational abilities
Ability to communication effectively with a globally diverse group of colleagues
A broad knowledge of International U.S. tax concepts (CFC, PFIC, Check-the-box, UBTI, ECI) would be helpful
Working knowledge of Microsoft Office suite

Corporate Tax Advisory Investment Bank Resume Examples & Samples

Identify tax consequences and risk implications of internal and external transactions (new products, internal restructures, issuances, M&A etc) originated by the IB, BNC and Treasury
Develop a good understanding of the IB business, operating models, legal entity structures and funding and the associated tax considerations and issues
Develop a good understanding and identify tax considerations associated with strategic and operational changes impacting the business, including regulatory reform
Develop a good understanding of the bank levy and how it impacts Barclays, working closely with Treasury and Finance, reviewing calculations and providing advice on the bank levy impact of transactions and initiatives
Provide tax support for EMEA countries and business units with no local tax coverage and provide UK support globally to regional tax functions
Develop, implement and monitor controls to manage tax risk (e.g. embedding Barclays Tax Principles within business areas, managing permanent establishment risk etc)
Support key business projects eg EU FTT
Keep up to date and communicate legislative changes and the impact on the businesses and group structure
Build relationships and work collaboratively with other parts of the tax function in the UK and globally
Build relationships and work collaboratively with the business and other Functions
Strong UK corporate tax technical knowledge and an appreciation of the interaction of other tax disciplines (e.g. VAT)
An understanding of banking tax issues and products (such as loans and derivatives) and a desire to build on this
The ability to apply this knowledge to identify tax risks and advise on a wide range of projects
Effective communication skills coupled with a proven strength to articulate complex tax issues to both tax and non-tax specialists
The ability to identify issues requiring escalation
A keen interest in the business and associated tax risks
A proactive approach, with a demonstrated ability to take responsibility for assigned work, managing the process and stakeholders through to completion
Demonstrated ability to challenge existing processes with a view to improving effectiveness and compliance
The ability to collaborate with others and to work effectively in a high-performing team

Investment Fund Specialist Resume Examples & Samples

University degree or college diploma
Completion of minimum educational requirements to be registered as a Mutual Fund salesperson (e.g. Canadian Securities Course or IFIC Canadian Investment Funds Course)
Minimum 1 year sales and service experience in the financial services industry

Senior Service Rep Investment Fund Group Resume Examples & Samples

Escalate all unresolved processing problems to the appropriate level, as per guidelines, including system, software and hardware failures
Provide advice in the completion of processes within established guidelines and procedures
Good understanding of the business unit’s risk and regulatory requirements
Knowledge of Mutual Funds industry
Segregated fund knowledge an asset
Working knowledge of MS Office suite, Unitrax and Livelink systems an asset

Alternative Investment & Tax Operations Associate Resume Examples & Samples

Update client statements for position valuations received from the fund
Process Financial Advisor Compensation & fees
Proficient in the Microsoft suite of products (Excel, PowerPoint, Word, Access)

Investment Service Representative Resume Examples & Samples

Must be available to start December 15, 2014
Applicants must have valid/current: Canadian Securities Course
Conduct Practices Handbook, Derivatives Fundamentals Course, and the Options Licensing Course completed within a year upon hire
A minimum of 1 - 2 years experience in a client service role

Am-gwm Investment Products Middle Office Fiduciary Specialist Resume Examples & Samples

Work with risk and compliance on finalizing the ongoing AHE policy for GWM
Lead the development and review of funded and unfunded projects within the space, documenting test plans, and coordination of UAT
Respond to inquiries from vendors, clients and internal contacts as required
Process driven, and at ease with technology and client account reference data

Investment Bank Reference Data Service COO Resume Examples & Samples

Proven record of academic or professional achievement
Proficient in financial/strategic analysis; ability to conduct complex analysis under tight timelines
Knowledge in Accounting and/or Finance; must understand Accounting topics related to Capex (Capital Expenditures), Opex (Operating Expenses), depreciation and be able to distinguish between cash budgets vs. P&L budgets
Experience with direct oversight of a team
Heavy interaction with global colleagues; light travel (2-3 times per year)
Highly organized and efficient at multi-tasking
Solid quantitative, analytical and problem solving skills
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Online Investment Service Representative Resume Examples & Samples

Acting as central point of contact for all technical inquires related to the RBC Direct Investing website
Identifying repetitive or chronic technical problems impacting a large number of clients for Direct Investing Online in order to trigger a proactive solution
Assigning chronic or repetitive technical problems to technical service partners when issues cannot be resolved due to complexity or lack of established procedures
Provides prompt, courteous and professional service to internal and external clients
Ability to prioritize and manage multiple tasks in a fast paced environment
Can diffuse high-tension situations comfortably
Works with peer groups within IT Client Services and external Service Partners to bring complex issues to resolution, escalating to management when required
Actively promotes the capability and functionality of RBC Direct Investing online site and proactively identifies self-service opportunities with clients
Assists in the identification of efficiencies within the team
Follows established procedures to handle the request on the first telephone call
Maintains an organized workstation and files indicating required follow up and status of all work/research in progress
All responsibilities are to be completed in accordance with the RBC Code of Conduct ensuring compliance with the Privacy Principles
Must be fluently bilingual ( French / English )
Strong PC skills, familiar with IT hardware and software terminology
Knowledge of MAC and Windows OS, Web-based applications and Microsoft Suite products
Strong knowledge and understanding of products, services, procedures and processes at Direct Investing

Investment Services Representative Resume Examples & Samples

Completion of the Canadian Securities Course (CSC) and Conduct and
Practices Handbook Examination (CPH) or registered with the IIROC
Completion of/in the process of completing the Derivatives Fundamentals and Options Licensing Course (DFOL)
Sales Experience is an asset
Capacity to speak/understand French as well as English fluently

Investment & Insurance Operations Supervisor Resume Examples & Samples

Manage the day to day operations related to Investment, Insurance and Time Deposit processing
Ensure high standards are maintained in operations related to Investment, Insurance and Time Deposits
Make sure all required controls and guidelines are adhered to and all related accounts are accurately proofed with no ageing amounts
Coordinate & work with business in ensuring mutual goals are met
Monitor activities at TCS and providing required feedback and support
Ensure timely preparation & circulation of Daily/Weekly/Monthly Internal MIS
Ensure customer queries are investigated and resolved in a satisfactory manner
Manage the various projects relating to new product launches, UAT and PVTs relating to the department
Identify opportunities for cost reductions and service quality improvements in the unit
Support the unit as a back up to Fund Transfer & Cheque clearing operations
Ability to work in high growth and pressure scenario with strong and proven leadership, project and people management skills
Strong verbal & written communication skills
Excellent computer proficiency skills
Work in dynamic situations and under strict timelines
In depth knowledge of Investment systems (UWS) and thorough knowledge of the working of investment products
In depth knowledge of Leverage and Insurance products
Experience in different areas of operations
Understanding of local regulatory, regional & global policies
Attention to micro details to maintain effective controls

Cib-f&bm-alternatives Investment Services Business Manager Resume Examples & Samples

Robust analytical skills; able to work with large amounts of data and develop clear and meaningful conclusions
Fund Services background and knowledge preferred
Good judgment and poise to enable effective interaction with global product, operations and technology heads and senior management

Associate, Trust & Investment Services Resume Examples & Samples

Responsible for providing overall trust and investment services support in role as back up to assigned trust and investment management accounts. Works under the direction of Senior Manager Trust*
Provides overall support to clients, their solicitors, investment advisors, and beneficiaries on day to day account operations, resolving any issues independently
Acts as a liaison between Trust and Investment professionals and clients, with respect to various account issues, specific client circumstances and general client inquiries and assists in the servicing of important client relationships
Includes communicating with clients on a regular basis, responding to and investigating customer inquiries
Takes a proactive approach to understanding straightforward clients' needs/concerns and responds effectively to them
Responsible for the effective co-ordination and administration of procedures which relate to trust services and investment management lines of business within the Canadian Private Bank
Responsible for on-going accurate/timely account maintenance requirements (i.e., set up of new accounts, transfer of assets, monitoring of GIC maturities, calculation and collection of fees, etc.)
Obtains appropriate valuation of non-financial assets, ensures safety of assets, relays asset transfer instructions and develops liability inventory
Undertakes other administrative responsibilities for maintaining client information, preparation of final statements of account, performance reporting, pre and post sale account documentation and compliance, and preparation of client reporting packages
Ensures appropriate fees are generated and serves as a trusted advisor to clients
Identifies opportunities for promoting entire Private Bank to clients (including Investment Management, Tax Planning, Trust and Banking services) and refers new business to the appropriate area, market or relationship manager
Discusses the new business opportunity with the trust or investment professional
Assists in preparing new business proposals or presentations to clients/prospects based upon their needs, Private Bank products and services, competitive pricing and committed service capabilities
May, on smaller accounts, say $500,000 or less, act as key liaison, under the direction of the Senior Manager Trust, between the Private Bank and the client
Administers Investment Administration Accounts under supervision and may act as key liaison, under the direction of the Senior Manager Trust, between the Private Bank and the Investment Administration client
Coordinates The Private Bank, Bank of Montreal, and external resources for the benefit of clients
Aware of clients’ personal environment and the real nature of their Trust Services needs and expectations
Has a personal commitment to teamwork, while subordinating personal prominence to team results
Post secondary education or equivalent industry experience
Successful completion of Canadian Securities Course and IFC
Enrolled in and/or has completed a Financial Planning or Personal Trust accreditation program through ICB or equivalent
Some (3-5 years) trust experience
General knowledge of investment and trust related competencies as well as financial services offered across Bank of Montreal
Strong written and oral communication skills and the ability to present ideas clearly
Takes responsibility for own acts and judgments
Influences events to achieve clients’, Bank of Montreal’s, and personal goals
Self-starting and confident

Recruiter for Global Asset Management & Investment Bank Resume Examples & Samples

Overall responsibility for driving the recruiting activities in your assigned areas mainly in Zurich and partly in Basel in partnership with internal and external stakeholders
Delivery of end-to-end recruitment process from search strategy setting, sourcing and assessing candidates to offer negotiation and closing with the successful candidates
Interaction with front line hiring managers to improve the utilization of our recruiting services and develop recruiting and sourcing strategies for their talent needs
Providing consistent communication and career guidance to candidates and utilizing internal and external networking platforms to increase our presence as an attractive employer and source future candidates

Special Projects Group Investment & Valuation Analyst Resume Examples & Samples

Evaluate existing investment strategies both for performance monitoring and for potential opportunities to increase efficiency through structural or other modifications
Assist in management of year-end financial statement process on behalf of clients including security valuation and review of potential consolidating or other unique transactions
Effectively document and be able to communicate key features of complex transactions to internal and external constituents
Periodically review performance and risk across all strategies and accounts
Oversee multiple projects across the organization including investment research, new fund/product launches, and firm-wide management level initiatives etc
BS degree in Accounting
2-3 years of experience in public accounting/audit (preferably Insurance or Investment Management sector)
Technical foundation to grasp various traditional and alternative investment strategies
Strong technical skills and extensive familiarity with MS Excel, MS PowerPoint, and Bloomberg
Ability to work effectively within a small team setting
Organized, detail oriented, and extremely thorough while having the confidence and communication skills to ensure work processes are completed accurately and appropriately
Must be willing to roll up their sleeves to perform any and all responsibilities needed to ensure success

Morgan Stanley Alternative Investment Partners Analyst Resume Examples & Samples

High-caliber graduate with a degree (or equivalent) from a top institution
1 - 2 years of relevant work experience (prior experience in Investment Banking, Equity Research, Management Consulting or Private Equity preferred)
Ability to communicate effectively in both written and verbal English; Chinese/Mandarin language skills will be an advantage
High level of interest in investing and in the global macroeconomic environment
An individual who has strong analytical and quantitative capabilities, who is intellectually curious, insightful, adaptable, detail oriented and, a team player, with a strong work ethic and a positive attitude
An individual with the ability to meet challenging deadlines while maintaining a high degree of quality and accuracy of work product

Investment Ops Analyst / Pricing Resume Examples & Samples

The security pricing analysis requires review of exception based risk reports generated from the OneTIS system that involves analytical skills, prioritization, and attention to detail in a critical deadline driven environment
Daily interactions may include broker counterparties, pricing vendors, internal trading desk and Portfolio Management, Global Pricing Services teams, Investment Analysis and Operations teams, and other Franklin Templeton Services business units
Act as liaison with Portfolio, Trading, Fund Accounting, and external auditing firms
Review, analyse, and resolve any pricing exceptions on a daily basis for assigned region or security type
Analyse unchanged security prices on a periodic basis
Identify and initiate workflow improvements
Work with Supervisor/Senior Pricing Analyst on special projects as assigned
Perform standard Pricing Analyst tasks as needed on local holidays, weekends, and during business continuity exercises/relocations. The business continuity relocation may include travel for an extended period of time
Experience in portfolio administration, security settlements, or corporate actions will be viewed favourably
Basic knowledge of the financial markets and various security types
Must possess basic quantitative, creative, and problem-solving capabilities
Solid organizational skills and flexibility
Reliable, responsible, self-motivated with hard work ethic, requiring minimal direct supervision
Ability to prioritize tasks based on urgency
Proven experience in the financial industry

Financial Services Actuarial Technician Pensions & Investment Actuarial Resume Examples & Samples

Consultancy experience
Understanding of actuarial valuations, analysis of surplus and other regular scheme related calculations and factors
Understanding of accounting standards and preparation of accounting figures
Experience in preparing actuarial advice for both corporates and trustee entities
Proven track record of delivering high quality work in appropriate timescales
Experience in carrying out asset liability modelling exercises or working with other proprietary actuarial valuation systems would be an advantage

Asset Management Global Maritime Investment Fund Asset Manager Resume Examples & Samples

Nearly 1,300 investment professionals providing strategies spanning the full spectrum of asset classes, including equity, fixed income, cash liquidity, currency, real estate, hedge funds and private equity
Have sailed as a Chief Engineer Officer or Master
Extensive experience ashore in a management role, such as Technical Manager, Fleet Manager, Superintendent or Director for multiple vessel types including bulkers, tankers, and containerships
Extensive experience of vessel technical management procedures, survey experience, and newbuilding supervision for a leading shipowner, shipmanager or end-user
Knowledge of classification society rules and international maritime regulations
Must be commercially minded, flexible and team oriented
Self-motivated and proactive, keen to learn and develop new skills
Preference for candidates with broad array of vessel types
Ability to juggle multiple projects simultaneously

Investment Portfolio Analyst Resume Examples & Samples

Respond to ad hoc attribution requests. These reports are generally structured according to the specifications of the investment team and/or clients
Manage significant one to one interaction with portfolio managers/analysts, product specialists, client service administrators, and other investment professionals on a variety of issues relating to investment performance and the decomposition of returns
Work with other colleagues in the global organization to streamline/increase efficiency and accuracy of the GPAR Team processes
Drive project work as needed relating to the GPAR Team
Possess a strong working knowledge of the Global Investment Performance Standards (GIPS)
Demonstrate a good understanding of the Global / International Equity and Fixed Income markets
General understanding of UCITS IV regulatory reporting
Thorough knowledge of the investment process and referential data for equity and fixed income
Asset management performance calculation and reporting experience including knowledge of alternative return calculations and CFA Institute Guidelines
In depth understanding of equity and fixed income attribution theory and practice
Experience in using FactSet and BlackRock. Additional proprietary tools are also used
Strong quantitative, analytical and problem solving skills along with a high attention to detail
Able to maintain a high level of confidentiality

Non-traditional Investment Products & Hedge Fund Legal Review Support Resume Examples & Samples

Assisting the lawyers in legal and operational due diligence assessments and approvals of alternative investment products (hedge funds, private equity etc.) for private banking clients worldwide in order to identify and avoid legal, operational, tax, credit and reputational risks for Credit Suisse
Assisting the lawyers in the development, implementation and monitoring of additional standards to identify and mitigate the risks involved in the handling with alternative investments
Maintaining and developing the Credit Suisse hedge fund database
Assisting in establishing a reporting tool for management purposes
Participation in other projects as and when required in the field of alternative investments
A Master Degree in Law
Excellent command of the English language, orally and written. Adequate knowledge in German is a big asset
High interest in legal and regulatory questions related to the financial sector and particularly alternative investments
Financial market knowledge or even practical experience in the area of alternative investments advantageous
Affinity to MS Office programs (especially Excel, Access advantageous)
Ability to work under pressure, independently and meet deadlines
Enthusiastic person with strong communication skills and adapted to work in a team
Motivation for professional development

Alternatives Investment Services Associate Resume Examples & Samples

Assist with day-to-day support of the EMEA credit products including the Collateralised Loan Obligations (CLOs) and our European Mortgage product (EMS)
Oversight of daily referential data quality and compliance testing
Developing and maintaining financial models for pursuant to the deal indenture requirements (including waterfall payment structures, coverage and collateral eligibility tests)
Review trustee monthly and distribution reports for accuracy and reconcile information to internal records
Reconcile trustee cash flow and position reports to internal records
Working closely with the Portfolio Manager to project the impact of specific trading strategies on deal compliance and distributions; running hypothetical scenario analysis
Assist with managing relationships with trustees, administrators and custodian banks
Prepare internal reports and materials necessary for bi-weekly investment committee meetings
Assist with preparation of audited financial statements for GAAP-reporting deals (as required)
Perform due diligence and documentation review relating to the issuance of new CLOs and new series of Mortgage product
Perform other periodic internal reporting (e.g. regulatory reporting, fund metrics, AUM, fee revenue, investor data)
Respond to ad hoc requests from other BlackRock groups including portfolio management, legal and client-facing teams
Participate in other group projects and initiatives as requested
Bachelor’s degree in accounting or finance (CPA or CFA is a plus)
Strong analytical abilities and detail oriented
Demonstrable knowledge of fixed income and derivative financial instruments
Intermediate to expert Excel skills

IMG Portfolio Construction & Investment Analytics Analyst Resume Examples & Samples

Partner with a wide variety of constituents to produce and execute strategic investment guidance. This individual will need to partner to determine what IMG offers and how it may be best delivered through the channels (online, call center based, client facing) as well as incorporated into marketing activities
Champion the Edge client base needs within the IMG organization and create a defined and consistent experience for customers that will differentiate Merrill Edge in the marketplace
Coordinate with investment product managers to increase awareness of IMG guidance and how it may impact the fundamental usage of products such as, mutual fund, ETP’s, or insurance by customers
Understand the broad customer segmentation and identify the opportunities to differentiate our guidance recommendations from competing broker/dealers Ensure the alignment resources to drive execution and change across IMG and Product Marketing
Create, develop and lead the implementation of multiple projects and initiatives in a fast-paced, challenging environment with multiple priorities
Work with internal product specialist sales force and product marketing to improve overall advisor knowledge and improve client experience
Understanding Goals-based Wealth Management framework and tailor its application for use with mass-affluent clients within Merrill Edge business
Partner with Merrill Edge to develop segment-specific solutions
Development of client communication to illustrate value of strategies in context of overall investment portfolios
Participate in writing internal/external whitepapers and interacting with BFAs / FSAs and their clients
Extraction and transformation of data from multiple sources (Bloomberg, DataStream, Factset, Haver Analytics etc.)
Analyze, design and implement quantitative models related to
Market Risk Modeling
General Statistical Method (e.g., Hypothesis Testing, Sampling, Regression/ General Linear Models)
Advanced Statistical Modeling (e.g., Multivariate Analysis, Time Series, Nonlinear Modeling)
Portfolio Optimization
Economic Analysis and modeling
Model Validation
Stress Testing and Scenario AnalysisQualifications
[5-7] years of proven experience working, preferably with a quantitative strategy group, and/or wealth management investment products/services
Knowledge of financial markets, economic movements and trends, portfolio management concepts, portfolio performance analysis
Able to work with minimum supervision in a fast-paced and challenging environment
Strong interpersonal and communication skills: ability to translate complex quantitative concepts into common-sense terms and thinking
Prior product development, research, or strategy development experience is desirable
Able to work with minimum supervision in a fast-paced and challenging environment; a team-player with ability to build relationships across the combined Bank of America - Merrill Lynch organization
Experience in playing both strategy / planning and execution management role
CFA, FRM (GARP) desired but not required
Series 7 & 66, a plus

Investment Funds Advisory Specialist Resume Examples & Samples

An advisory role within UBS Wealth Management working with clients alongside their client advisors to promote investment funds
Focus is on regular mutual funds, hedge funds (including UCITS) and private markets (including private equity, real assets, secondaries and distressed)
Based in the UK, but part of a large global business, co-ordinating closely with the respective content teams (research) and specialists in other global locations
There will be some product management work including the on-boarding of new products
The role is at Director or Executive Director level, dependent upon experience

Global Wealth Management Global Investment Products Associate Resume Examples & Samples

Self - motivated and independent worker
Strong communication and presentation skills and confidence to work directly with senior managers in both the front office and finance
Ability to hit the ground running and deliver results in a high pressure environment
Experience in forecasting, planning and analysis, and strong familiarity with Microsoft programs, including, but not limited to Excel and PowerPoint
Desire and ability to understand and effectively utilize MIS reporting systems

Investment Center Team Manager Resume Examples & Samples

Demonstrates excellence and “above and beyond”customer service attitude consistently in each customer service contact
Series 7, 63/66
Ability to attain the 9/10 within 120 days
2 to 3 years of leadership experience desired
Knowledge of Merrill Edge systems and clients a plus

Investment Programme Manager Uhnw Discretionary Mandates Resume Examples & Samples

Setting internal benchmarks for the programme that best reflect client risk profile, where active positions can be taken and minimize transaction costs at implementation
Ensuring that the CIO WM House View is reflected accurately across the programme (including all programme variations) and that implementation of the strategy is carried out correctly and in a cost efficient manner
Being a member of the Client Investment Committee that sets the investment strategy for the individual client portfolios for Ultra Investment Solutions
Defining investment parameter for modules used in specific programmes
Reviewing content in terms of underlying performance and compatibility within the programme
Periodic review of strategic asset allocation
Regular review of programme content to assess compliance with programme features and to recommend necessary action where discrepancies occur
Managing the programme team which represents key stakeholders from across the value chain
Communication to mandate specialists to carry key messages regarding the programme to client advisors
Liaising with other IM areas concerning cross border compliance and programme development and management
Strong knowledge of financial markets together with the ability to understand investment decision making in order to adapt decisions to specific circumstances within your programme
Solid understanding of risk management and the interpretation of risk reports with the view to recommending corrective action where necessary
Ability to structure investment portfolios that fit client restrictions

Chief AML Officer Americas Investment Bank Resume Examples & Samples

Ensuring that the AML inherent risks are identified, assessed and effectively controlled
Ensure consistent and rigorous implementation of UBS standards and U.S. legal and regulatory requirements
Ensure that Financial Crime policies and procedures remain current and that the staff is adequately trained

Alternative Investment & Tax Operations Analyst Resume Examples & Samples

Process capital calls from client accounts to the Funds
Reconcile firm accounts
Reconcile Financial Advisor Compensation
Excellent attention to detail and follow-up
Ability to thrive in a fast paced and changing environment

Investment Rule Management Intern Resume Examples & Samples

Setting up and maintaining compliances rules
Identify and suggest improvements to existing rules
Set up resources (lists, calculations, etc.) required to code requested compliance rules
Working with compliance teams globally to understand required compliance restrictions
Supporting the onboarding of new restrictions, security types etc. from the rule coding side
Creating and maintain reference documentation
Investigating issues, data exceptions and queries received from other teams
Current student status,
Fluent English,
Ability to organize work, assign and adjust priorities as needed
Proactive attitude,
Self – reliance and self – discipline at work,
Comfortable working in a global environment,
Proficient at MS Office applications
Programming knowledge or experience is not required but will be viewed favorably
The ability to work 25-30 hours per week during afternoon hours

Am-investment Products Middle Office Fiduciary Specialist Resume Examples & Samples

Support and oversight of various aspects of the Assets Held Elsewhere (AHE) offering within GWM
Interface with Trust Officers, CSG, Front office or clients relating to functional aspects of the team as required
Client service and/or Operational management experience

Am-gwm Investment Products Middle Office Resume Examples & Samples

Assist in the development of web based marketing materials and internal training materials
3-5 years of Client service and/or Operational management experience
Minimum intermediate level Excel skills

Trading Desk Support for Cash Re-investment Desk Resume Examples & Samples

Primary point of contact between the business and technology teams
Provide NAM focused Technology Investment support but when called upon, participate in Level 3 system escalation for EMEA and APAC
Test new security types within the application
Provide security setup guidance to users when issues arise
Security analysis in Bloomberg
Maintain a certain level of application configuration responsiblities
Investigate new and simpler investment workflows
Client escalation point for street breaks once the business has exhausted their researching of the matter
Requirements gathering and documentation
Assistance with QA, UAT or enhancments/bug fixes
Self starter who can work in a fast paced environment
Desire to learn the business and assist with making the business work more efficiently
General knowledge of fixed income financial instruments is preferred
Bachelors in Finance, Accounting or Technology is preferred but not required
Ability to communicate at multiple levels of the organization

Am-investment Middle Office Project Manager Resume Examples & Samples

Well-rounded experience with brokerage accounts and investment products
Experience and understanding of the FX, Commodities, and OTC derivative markets
Exposure to structured products; specifically FX and Commodities products
Understanding of the Dodd Frank Financial Reform Act with respect to derivatives trading, clearing requirements, and SEFs is a plus
Prior experience with supporting trading desks, trading applications, and trading controls is a plus
Planning and executing small-to-medium scale projects or business initiatives independently
Organize discreet work efforts and provide overall project or program tracking
Communicate to senior management and other key stakeholders
Provide feedback on project status, offering constructive options to ensure project tracks to original expectations
Specific project activity may include: Documenting current and future state operating models
Documenting policies and procedures
Developing and delivering client and/or internal communications
Researching and clarifying business requirements so technology can deliver appropriate technical solutions
Planning and coordinating UAT and regression testing for key applications
Metrics reporting and status tracking
Perform business analyst responsibilities to include: Requirements analysis and gathering
Use case creation and modeling
UAT test execution
Serve as a business application owner/SME for trading products/systems
Ability to synthesize information to reach logical conclusions & present findings
Ability to evaluate & improve processes; Excellent documentation skills
2-5 years project management and/or senior business analyst experience
Familiarity with Private Banking, Trust & Estates, or Brokerage business is a plus
Series 7 or 99 (not required but is a plus)
PMP/CAPM or CBAP (not required but is a plus)

Alternative Investment Attorney Resume Examples & Samples

Excellent oral and written communication skills
Strong interpersonal skills
Strong management and administrative skills

Am-investment Product Middle Office Risk & Control Associate Resume Examples & Samples

Ability to take the lead in unstructured situations
Previous experience in a Risk and Control function is a plus
Proficient with Microsoft products including Visio, Excel and Word

AHS Investment Lab Head Resume Examples & Samples

Align investment products and recommendations with Citi’s view, strategic and tactical allocations. Translate company’s view in actionable ideas for sales force to implement
Interact with Business Segment Heads, Sales Managers, Investment Counselors and all relevant parties to develop investment solutions according to their customer needs and to make sure that the investment identity is aligned within all the countries and businesses
Matrix supervision of in-country product teams to ensure they are aligned with the business and calls defined by the Lab. Requires visits to the Countries we have presence
Support the Investment and Clients Solutions Head in monitoring the interaction model of CIFS fixed income trading desk with countries. Requires visits to Puerto Rico
Manage as player/coach a team of three senior investment advisors, establishing the strategic guidelines for the team, overall goals and objectives, and insuring flawless, timely and compliant execution
Implement and coordinate sales and product related calls and/or presentations for the Sales Force
Lead the monthly AHS Investment review with countires and sales leaders
Responsible for Capital Markets products in partnership with Product Management team. Bring new products to the platform, review and improve processes, pricing and any other topic related to these products
Responsible for the investment revenue, in conjunction with the Investment and Clients Solution Team
Work closely with Investment Counselors and RMs, providing them ideas to grow their investment business, retain and attract new clients and assets, and monitoring investment portfolios
Develop and maintain comprehensive knowledge of Citi's investment product offering, market views, and asset allocation guidelines. Serve as a subject matter expert on capital markets products/topics
Enforce quality and compliance control standards, including solicitation policies and suitability guidelines
Lead and motivate team members to higher levels of performance,
Fluency in English and Spanish required. Portuguese is a plus
Advanced PC skills. Bloomberg, financial modeling and database software. (Zephyr, Micropal, Morningstar, etc.)
Series 7, 24 and 66 required. Ninety days window to obtain licenses

100

Investment Analytics Senior Analyst Resume Examples & Samples

Reconciling daily investment portfolio holdings and performing quality assurance checks
Providing accurate and timely risk, performance attribution and characteristics portfolio reporting
Managing client relationships by reviewing and resolving client requests, responding to clients inquiries on how to interpret portfolio reports provided and working with clients and Account Managers to create custom solutions
Assistance in client specific projects as well as working with team members on ad hoc projects to improve internal processes and procedures
BA/BS in economics, finance, or other quantitative fields required
3-6 years of related experience
Exposure to Risk and Performance Attribution Analysis
Superior communication, client service, and leadership skills
Strong computer skills and proficiency in Excel
Well-developed ability to work effectively in a team-oriented environment

101

Infrastructure Investment Group VP Resume Examples & Samples

Support AUM Growth/Strategic Initiatives: executing on all key growth initiatives for the group which will include launch of new products, seeking approvals through SPM processes, structuring vehicles in close collaboration with legal and tax advisors and ultimately launch of the fund and/or separate account structure. In addition, the candidate will be responsible for preparing all key internal documentation for BAI Executive management and other internal processes
Market Positioning: Understand the competitive landscape for debt and equity products; develop key points of differentiation for BlackRock, prepare market analysis and research on a regular basis and educate team on same
Enhance the group’s existing processes and improve connectivity with the rest of BlackRock
Legal training, project management, fund structuring within an asset management firm, client on-boarding experience and knowledge of BlackRock systems a plus Highly proficient verbal and written communication skills with the ability to effectively distil complex concepts into clear and simple themes
Advanced PowerPoint and Excel skills
Strong academic background and highly rated in their career to date
Demonstrated research, analytical skills; with strong attention to detail
Enthusiasm and commitment to working in a friendly, entrepreneurial, team environment
High-energy and positive attitude
Bachelor’s degree or equivalent in law, finance, economics, mathematics/statistics, engineering or a related field
Significant and proven experience in a similar professional environment
CFA or MBA or other advanced degree a plus

102

Investment Bank Controls Resume Examples & Samples

Establishing governance across multiple IB departments and potentially across other divisions in the bank
Planning ongoing roadmap for key systems and processes, with a focus on the Supervisory Control flow
Managing enhancement delivery across multiple departments in the IB and possibly across multiple divisions of the bank
Working closely with IT to pan and implement any system improvements required
Monitoring, tracking and reporting progress to stakeholders
Providing prioritization and delivery of change requests
Ensuring effective communication within the team and to wider stakeholders
Ensuring enhancement benefits are realized
Ensuring risks are identified and effectively managed

103

Investment Technology Manager Resume Examples & Samples

15+ years of experience in data reporting design, developing finance systems, conducting business requirements analysis, and business process mapping
Bachelor’s degree in Information Systems, Computer Science or a similar field
Able to understand and conceptualize financial applications from both a technical architecture perspective and a business point of view
Experience in developing and delivering Asset Management systems and analytics using data feeds from multiple financial sources/services (e.g. financial data providers, custodians and counterparties)
Excellent communication skills and the ability to work both independently and collaboratively with business and IT management

104

Investment Strategies Analyst Resume Examples & Samples

Has excellent attention to detail, demonstrates a strong sense of urgency, and has the ability to work independently and in a collaborative environment
Is results-driven and a motivated self-starter
Has strong interpersonal and organizational skills with the ability to multi-task
Read, research, and remain current on financial markets to help generate ideas and input toward the platform’s broader investment strategy
Conduct research and analyze data on economic and market topics as directed by Investment Strategists and Chief Investment Officer
Generate and update original economic and market-related data and charts for client presentations and other publications
Work with Investment Strategists and Chief Investment Officer to create and update data, charts, and other materials for internal and external presentations
Maintain, update, and improve where possible the Investment Strategies Dashboard of economic charts and data
Work with team to create and improve tools and processes utilized by client advisors for making asset allocation and investment decisions pertaining to client portfolios
Help team to answer questions from clients and client advisors pertaining to specific securities, asset classes, portfolios, or economic issues
Special projects, as needed

105

PCG Investment Product Analyst Resume Examples & Samples

Analyzing the investment merits and risks of investment products as well as their associated suitability for RJ clients
Preparing product approval memos/presentations for use by the PCGIP Investment Committee
Conducting due diligence for existing and prospective investment products
Transferring product knowledge and expertise by communicating with and educating other departments within the Private Client Investment Products Group, as well as by working directly with financial advisors
Job scope includes identifying and performing quantitative and qualitative investment analysis (e.g., financial modeling, risk analysis, validating investment merits, etc.) on annuity products, and preparing detailed product memos. The job scope also includes making product recommendations and presentations as appropriate
Works closely with senior investment product managers on analysis and recommendations related to existing investment products as requested by financial advisors
Annuity/insurance products and securities markets in general
Financial and risk modeling
Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment
Operate with limited guidance
Identify required tasks, develop timelines and execute
Bachelor’s Degree in Finance, General Business or Economics with 1-3 years’ experience in either financial services or insurance/actuary role
Relevant internship experience (insurance, finance or investment related)

106

Human Capital Management Goldman Sachs University Investment & Merchant Banking Analyst Analyst Resume Examples & Samples

Execute training initiatives for the Investment Banking and Merchant Banking divisions, including program design, communication and program execution
Utilize understanding of the workings of an investment bank and the overall financial industry to establish and enhance training curricula
Communicate and maintain relationships with stakeholders at all levels of seniority; articulate ideas or opinions, prepare presentations to stakeholders
Serve as content expert the firm’s Products and Markets curriculum. Maintain and update the e-learning library of content, serve as Vendor Relationship Manager for Products and Markets vendors used firmwide and consult with divisions to address their needs for product training
Identify and prepare internal speakers to deliver content at our training programs
Design and manage materials required for program execution
Develop presentations to educate stakeholders on our learning initiatives and the impact they have on our employees
Respond to requests from employees and managers in the Investment Banking and Merchant Banking divisions regarding learning offerings and needs
Bachelor degree required
2 years of experience working in financial services
Demonstrated knowledge of key investment banking products, markets and skills including working knowledge of concepts in accounting, modeling, valuation and how they are applied in an IBD context
Interest in and aptitude for training and development: program design, content development and program implementation
Strong communication skills, both written and oral. Candidates should have comfort presenting to audiences
Demonstrated ability to work closely and build credibility with internal clients across levels

107

Global Wealth Management Global Investment & Trust & Estates Expense Manager Resume Examples & Samples

Minimum 5 years in business or financial analysis
Strong communication and presentation skills, and confidence to work directly with senior managers in both the front office and finance
Ability to hit the ground running quickly

108

Cib Mid Cap Investment Bank Coverage Experienced Analyst Resume Examples & Samples

Assist regional leadership with day-to-day management of client coverage
Market, structure and execute corporate finance deals, including mergers and acquisitions, divestitures, spin-offs and debt/equity financings
Develop models, consisting of financial statements and data, as well as required key outputs, using discounted cash flow, merger, accretion/dilution, leveraged buyout, comparable company, comparable transaction and sum-of-the-parts analyses
Conduct due diligence on companies in connection with the valuations for merger and acquisition transactions and/or securities offerings
Develop and manage junior resources in various project environments
Manage all stages of transaction executions, from the pitch phase to closing
Ensure a high level of quality in all investment banking project materials
Attend various client sessions/events as well as relevant industry conferences
Candidates must possess strong entrepreneurial, analytical, quantitative, communication, business writing and client-relations skills
Candidates should be able to work independently, producing accurate, detailed materials while meeting tight deadlines
Education required: Bachelor's Degree or the equivalent in Business Administration, Finance, Economics, Engineering or related; Master's Degree in Business Administration preferred, but not required
Skills required: Must have prior experience with financial modeling; in addition, must have strong proficiency in FactSet and CapIQ as well as MS Excel, PowerPoint, Word and Outlook

109

Researcher Inward Investment Dublin Resume Examples & Samples

Conduct research to compile bank of market intelligence which will support presentations to new inward investment clients
Maintaining up to date library bank of relevant industry reports and articles relating to Inward Investment
Compiling analysis of our performance with new business through ratios relating to CV sends, interviews and offers made
Support the information needs of government bodies by assisting in the efficient turnaround of all information requests
Conduct regular industry specific surveys with key client base to identify changing trends by sector
Assist in the compilation of market research reports
Responsible for preparation of all presentation materials for external pitches
Assist in the organisation and co-ordination of client related events including Breakfast Briefings, client dinners/lunches etc
Diary Management including FDI itinerary meetings, Service Provider meetings and ad hoc travel and events
Develop relationships with key education and government bodies for the purpose of developing up to date statistics on relevant education and legislation changes
Build relationships across all sectors of the business to support information requests and knowledge base
Ad hoc administration on an ongoing basis

110

Investment Funds Advisor Resume Examples & Samples

Provide investment advice to all existing and prospective non-discretionary clients over the phone and in meetings, including
Gathering pertinent client information
Analyzing this information to gain an understanding of the client objectives/constraints
Using tools available to create an appropriate asset mix based on the client objectives/constraints
Recommending an appropriate mix of funds, explaining the funds’ characteristics, how they differ from other funds, and why they are the most appropriate funds for the client
Assisting the client in implementing the strategy
Assist clients in building portfolios by providing detailed information and comparisons of investment funds
Take clients through a detailed profiling and needs assessment process in order to determine appropriate asset allocation
Communicate the firm’s market commentaries, economic outlooks and asset mix strategies to clients and prospects
Grow and develop the direct-to-investor distribution channel through proactive and reactive client contact and identifying latent needs in order to seize opportunities
Provide information pertaining to a wide range of complex financial planning concepts to clients including estates, tax, retirement planning, investment strategies, etc
Occasionally assist clients with on-line technical problems with accessing confidential client information on phn.com
Accept client trades and instructions over the phone while ensuring these are consistent with client Investor Profile information
Adhere to all compliance and regulatory requirements to the highest ethical standards
Offer “value added” articles and pieces to clients and prospects
At least 3- 5 years of progressive experience in the investment industry with experience in providing investment advice to clients
Must have Mutual Funds License (IFIC) and Canadian Securities Course (CSC)
Excellent knowledge of MS Word, Outlook and Excel
Good problem solving and strong oral and written communication skills in both English & French
Well organized and able to deal with multiple tasks and changing priorities
Self-motivated with the ability to work both independently and as an effective team player with staff at all levels
Ability to establish rapport and trust with prospective/existing clients, colleagues and co-workers
Ability to handle large client volumes and clearly communicate complex investment information
Demonstrate good judgment and maturity with the ability to analyze client situations and implement appropriate strategies
Professional Designation (CFP, CFA, CIM) considered an asset but not required

111

Head of Business Controls for Investment Products & Services Resume Examples & Samples

Ensure IPS framework remains aligned with WM Risk and Firm wide standards, and remains robust and effective in an ever-changing risk environment
Overseeing the development and maintenance of the front-to-back inventory of the universe of processes, risks and related controls for the products, services and other functions of IPS. Also known as the Risk Control and Self Assessment (RCSA), responsibilities will also include the maintenance and management of a robust quality assurance testing plan for the controls owned by the IPS organization
Manage risk related incidents for IPS including response management, incident reporting, and the designed and development of additional processes intended to prevent any future reoccurrences
Oversight over the Activity and related action plans that are associated with incidents, audit findings, continuing assessment findings, regulatory inquiries, regulatory audits, regulatory changes, RCSA related deficiencies, and litigation settlements
Coordinate and oversee infrastructure related activities including the Outsourcing & Vendor Management review process, Entitlement Review and Segmentation of Duty responsibilities, Information Security activity and Privacy related initiatives
Supervise Audit activities across IPS, including risk assessments, audit planning, audit testing, control evaluation, report drafting, work paper documentation, and follow up and verification of issue closure
Supervise Targeted Assessment activities across IPS, including planning, report drafting, work paper documentation, and follow up and verification of issue closure
Collaborate with Compliance & Branch Exams groups to identify themes in audit results and target assessments
Manage the implementation plan of new or enhanced controls and processes to avert future regulatory or internal audit findings
Oversight of the response to regulatory requests and inquiries that require input from the IPS organization
Oversee departmental policy and procedures across IPS
Oversee Business Continuity Planning for IPS by partnering with embedded BCP officers
Coordinate Risk Acceptances for IPS including drafting submission and tracking of follow up activity
Manage the development and ongoing maintenance of Written Supervisory Procedures (WSPs) and other policies and procedures to ensure compliance with Regulatory standards
Own and maintain a holistic risk reporting program for FMG, ensuring key operational risk events are escalated in timely manner, and monitoring and analysis of all risk activities remain current
Organize and facilitate the feedback of risk trends occurring throughout IPS, with a focus on root cause and impact analysis
.Establish and maintain monitoring metrics related to various controls
Must possess college degree; MBA is desirable but not a pre-requisite
10 years of financial services experience, ideally within the Wealth Management related disciplines
Experience with risk management, audit, and / or compliance functions a plus
Candidate should have experience with managing operational risk
Ability to lead/manage group meetings which include senior stakeholders
Ability to identify complex risks early and develop actionable mitigation plans
Ability to concisely explain complex issues
Must possess strong written and oral executive-level communications skills
Must have demonstrated ability in being flexible and working with stakeholders and colleagues at all experience levels
Experience of engaging and influencing senior leaders within the organization is essential

112

Am-infrastructure Investments Group Investment Principal VP Resume Examples & Samples

7 to 10 years experience in PE/Infrastructure buy-side investing, Investment Banking, Project Finance and/or related infrastructure operating company experience
Minimum 7 years in Acquisitions, Advisory or Credit capacity
Expertise in selected industry and/or asset types (i.e., transportation, energy, power, water, etc)
Experience with infrastructure assets preferred
Robust quantitative and analytical skills; very detail oriented
Proactive problem solver
Experience in structuring transactions and DCF modeling
Commitment to the highest standards of integrity and ethics
Ability to multi task projects simultaneously

113

Am-infrastructure Investments Group Investment Principal Associate Resume Examples & Samples

4 to 6 years experience in PE/Infrastructure buy-side investing, Investment Banking, Project Finance and/or related infrastructure operating company experience
Minimum 4 years in Acquisitions, Advisory or Credit capacity
Expertise in selected industry and/or asset types (i.e., transportation, energy, power, water, etc)
Experience with infrastructure assets preferred
Robust quantitative and analytical skills; very detail oriented
Proactive problem solver
Experience in structuring transactions and DCF modeling
Commitment to the highest standards of integrity and ethics
Ability to multi task projects simultaneously

114

WM Investment Regional Manager Resume Examples & Samples

Sustain Profitability and growth of unit(s)
Provide strategic direction and leadership to pursue objectives of unit(s)
Create and maintain cost-effective programs for unit(s)
Actively ensure compliance with all US Bancorp policies and procedures such as Code of Ethics and all Anti-Money Laundering, Bank Secrecy Act, information security ad suspicious activity reporting requirements, etc
Lead a group of 20+ investment professionals serving the West Region of Private Client Group in Community Bank markets
Participate in firm governance structure, which maintains policies and procedures and due diligence of investment platform
10+ years of wealth management experience
BA/MBA in finance, accounting or other related field
CFA, CFP, CAIA or other applicable professional designation is preferred
Knowledge of unit(s) and relation to industry
Well-developed analytical, decision-making and problem solving skills

115

WM Investment Portfolio Manager Resume Examples & Samples

8+ years of investment management experience, preferably as an equity analyst or portfolio manager
BA/MBA in finance, accounting, or other related field; CFA preferred
Broad-based understanding of equity markets, including key drivers
Well-developed analytical, decision-making and problem-solving skills
Valuation,scenario analysis, risk management and portfolio construction experience preferred
Well-developed verbal and written communication skills
Experience in writing industry and company reports preferred

116

Investment Ops Technician Resume Examples & Samples

Three to five years of experience in operations and processing activities
Advanced knowledge of banking operations, investment instruments and trading policies and procedures
Thorough knowledge of securities industry
Well-developed customer service/relations skills
Ability to identify and resolve exceptions and to interpret data

117

Investment Executive Resume Examples & Samples

Achieving sales goals while serving the clients# best interests
Develop and conduct client meetings to review existing accounts and close sales individually and jointly with licensed bankers
Manage sales planning for self and for team to drive sales, and achieve designated goals and financial results
Ability to delegate tasks and follow-through
Prepare necessary internal reports for sales tracking
Coordinate and communicate with team on daily basis to insure accurate completion of accountabilities
Conduct internal and external seminars
Serves as a coach and mentor for licensed bank employees
Guide and promote progress toward established goals for team

118

Investment Executive Resume Examples & Samples

Series 7, 66 (or 63 and 65) and appropriate state required insurance licenses (exception: 7 and 63 in Michigan and Ohio) are required. Variable Annuity license is required
Ability to motivate others in a team environment
Proven experience in building strong internal and external client relationships

119

Investment Executive South Charlotte Resume Examples & Samples

Plan and conduct individual and group coaching sessions with retail bank employees
Handle daily client needs and problems and prioritize and delegate tasks to resolve
Post-appointment follow up to maintain relationships and develop referrals from existing client base
Maintain comprehensive knowledge of all financial products through self-study, periodicals, and appropriate coursework
Prioritize client needs and introduce services of other Fifth Third Bank employees, i.e. loans, estate planning, deposits
Thoroughly organize, share and prepare licensed bankers with tools and skills needed to be successful
Recognize and reward achievement of goals
Prior Brokerage Industry Experience
Motivated by commission sales, recognition programs, and internal sales competition among co-workers
Ability to transfer knowledge through highly developed coaching and teaching skills # can relay complex products and processes
Demonstrated ability to simplify and communicate complex financial concepts
Highly developed knowledge of the securities business, investment products and financial solutions
Highly developed sales and presentation skills

120

Cio-retirement Plan Investment Group VP Resume Examples & Samples

Participate in existing and prospective manager due diligence onsite and offsite
Enhance, develop, and maintain analytical and quantitative models and presentations for fixed income portfolio
Conduct performance, key rate, exposure, and liquidity analysis for individual manager and aggregate fixed income portfolio
Develop investment theses for the fixed income portfolio
Assist in ongoing risk monitoring of fixed income portfolio
Liaise with custody and performance groups on monthly valuation and preparation of portfolio reporting packages for fixed income portfolio
Serve as a point of contact for fixed income fund due diligence tools and applications
Assist with preparation of quarterly Investment Committee meeting slides
Assist in legal review process
Minimum of 5 years experience in the field, preferably in an analytical role within the financial services industry
Deep knowledge of a broad range of fixed income products and instruments
Bachelor’s degree required, preferably in Finance, Economics, Math, or other quantitative discipline; Advanced degree is preferred
Excellent communication skills, written as well as verbal
Intellectual curiosity, a strong work ethic, attention to detail and a team player mentality are important attributes
Proficient in complex modeling and ability to learn to use new systems quickly

121

IT Intern Developer Investment Ops Resume Examples & Samples

Assist the Investment Operations Applications team with prioritized development activities, including technology refresh initiatives
Complete all tasks related to building and unit testing, quality assurance, system test and implementation in accordance with the IT development life cycle
Build and test system components or amendments
Always conform to documentation, coding and quality standards as defined
Review, discuss and work within agreed timescales and feedback to project managers any variances arising as tasks are performed
Prepare all necessary documentation and processes to enable ongoing support of the systems
Communicate with internal and external customers, supervisors and management using clear, user-friendly terminology (emails, phone, meetings)
Academic training in systems analysis and computer programming, including SQL. Familiarity with object oriented programming concepts
Experience with Microsoft technologies is preferred (VB.NET, SQL Server)
Understanding of relational database design and development life cycle principles
Intermediate computer skills in MS Office Suite are preferred
Ability to pick up new technology independently
Ability to work well in a team environment
Ability to handle multiple assignments
Enjoy challenging and thought provoking work and have a strong desire to learn and progress (motivated enough to self learn)
Desire to stay abreast of new development tools and methods

122

Cfo-family Office Investment Resume Examples & Samples

You will responsible for the financial accounting and operational matters for investment and its entities
Responsible for the monthly reporting, quarterly reporting and annual financial
Assist the Chairman with annual budget exercise as well as monitoring budget and target achievements
Manage the coordination and activities of independent auditors, tax agents and company secretary - ensuring statutory or contractual reporting requirements and tax requirements for the various fund entities and investment management entities are met
Responsible for the coordination with third party fund administrators on capital calls, distributions, payment processing and fund reporting for the various fund entities
Managing cash flow projections and cash management of the fund entities and investment management entities
Involve investment matters and deal support such as providing advice where required on investment structures and post-investment monitoring including reviewing quarterly valuation reports
Work closely with the Chairman and CIO on new investment strategies
Manage a small team and guide them to produce an efficient operation deliverables

123

Investment Product Consultant Advisory & Alternative Investments Resume Examples & Samples

Consult as a first point of contact to understand client needs, case design, risk class assessment, and recommend suitable products and/or platforms to meet those needs. Assure appropriate sales materials are packaged to the advisor to help them better understand and make adjustments to the case as needed
Articulate market and economic impacts as well as the technical investment characteristics of portfolios and underlying securities
Consult on supporting technology including portfolio analytic tools, investor presentation and proposal tool, and LPL BranchNet management/trading tools
Articulate our value proposition and four pillars of support and provides an overview of sales concepts
With little supervision, problem solve a myriad of issues relating to compliance, operations, and technology concerns
Through training maintain up-to-date job knowledge on proposal tools and other resources that assist advisors throughout the sales and service process with investors. Maintain current knowledge and understanding of LPL's offerings, Sponsor products, market dynamics and industry trends, etc
Participate in appropriate professional development activities to best provide support to advisors and their clients which may include pursuit of certain professional designations and continuing education
Minimum Experience Required: 1+ years of sales experience
Demonstrated ability to use independent judgment to make decisions and solve problems
Licenses/Certifications Required/Preferred: Licensure and Certifications are required and are dependent of the product line(s) supported. Required licenses include: Series 7, Series 66/65 is preferred
Software/Systems Skills Required/Preferred: Proficient with MS Office

124

Portfolio Manager Private Investment Counsel Resume Examples & Samples

Ensuring all aspects of assigned relationships receive ongoing attention, as required to maintain, improve, grow and retain the relationship
Conducting ongoing wealth conversations with clients, developing and sustaining an intimate and ongoing understanding of client life goals, circumstances and wealth needs
Based on an intimate understanding of their clients’ situation, identifying and capitalizing on new business opportunities throughout the lifecycle of client relationships
Using strong knowledge of the Bank’s, SPCG and Private Investment Counsel (PIC) diverse products and services, to ensure the client’s needs are well understood, documented and satisfied
As the primary relationship manager, acting as the central point of contact for all client needs
Monitoring of client accounts to ensure optimal profitability is maintained in each relationship
Utilizing the Know Your Client process and Investment Profile Questionnaire (IPQ) to develop an in-depth understanding of client’s needs and determining the appropriate asset allocation model based on needs, risk tolerance and short/medium and long term objectives
Recommending an appropriate asset mix model aligned with life goals, income needs, return expectations and risk tolerance that fulfills client objectives
Maintaining a strong market profile and business development plan within the assigned geographic area and client segment with both internal and external contacts
Building and maintaining an awareness of local market and general economic conditions
Liaising with Bank & Wealth specialists to stay abreast of new enhancements, products and services, as necessary
Actively promoting and marketing the development of PIC’s book of business
Executing on marketing strategies to attract and retain valuable clients by providing internal/external professional presentations and reports for growing relationships and conducting prospect meetings
Using a defined business development and sales process to find and attract new clients, as well as consolidate assets from existing clients in order to increase share of wallet
Developing acquisition strategies, managing and maintaining a prospect sales opportunity pipeline in order to generate sustainable and profitable growth
Identifying referral opportunities to Scotia Private Client Group partners, such as ScotiaMcLeod, Commercial Banking, Retail and other key partners (Roynat, Global Transaction Banking, International, Global Banking and Markets, etc.)
Maintaining awareness and ensuring compliance/adherence to all procedures, regulatory activities and guidelines including Privacy, Anti-Money Laundering, Anti-Terrorist Financing, Financial Consumer Agency of Canada, Know Your Client, Occupational Health & Safety and Guidelines for Business Conduct
Minimizing the Bank’s overall exposure to risk
Adhering to bank and firm standards, policies and business practices to ensure that PIC is meeting the appropriate regulatory and compliance requirements as they relate to both new and existing accounts
Fostering and developing a strong, positive team environment, driving employee empowerment, innovation and a high degree of engagement
Expert relationship management skills
Strong business development skills which include networking, negotiation, sales and closing skills
Strong communication and influencing skills
Self- motivated and disciplined
Strong ability to explain financial and wealth strategies and concepts integrated with firm-wide investment strategies
Thorough investment management know-how and depth of experience required as it relates to understanding economic and capital markets data in order to describe the firm’s investment strategy to partners and clients
Working knowledge of the products and services offered by the Scotiabank partners in order to identify and refer clients as appropriate
Must meet the regulatory requirements to be registered with the appropriate securities commission
Minimum 5 years direct experience in discretionary investment management, covering both financial analysis and managing portfolios (individuals, estates, trusts, pension plans, foundations, registered accounts), with an expert understanding investment returns, potential risks, and the associated tax implications

125

Investment & Personal Banking Specialist Resume Examples & Samples

Banking experience as a Personal Banking Officer, Financial Advisor or Account Manager,
Bilingualism (French and English),
Proven success in achieving sales targets,
Holds self-accountable to high levels of customer service with a focus on maintaining and building strong customer relationships,
Advanced knowledge of retail banking products and services: Day to Day Banking, Borrowing and Creditor Insurance, Self Service banking and Investments,
You are highly organized and results oriented with demonstrated flexibility in adapting to a constantly changing environment,
IT literacy
Strong personal ethics

126

Sales Associate Online Brokerage \ Wealth \ Investment Resume Examples & Samples

Individuals with previous sales experience preferably within financial services: Wealth, Investments, Brokerage, Retail banking and Commercial banking are more than welcome to apply
Self-directed brokerage, online trading experience or knowledge of products/services offered through self-directed brokers is a huge asset
Well articulate, excellent verbal and presentation skills
Bilingualism is an asset (Cantonese, Mandarin or French)

127

Portfolio Manager Private Investment Counsel Resume Examples & Samples

Client Relationship Management
Delivering exceptional client experience and the wealth advisory value proposition
Developing a professional, mutually beneficial and profitable relationship between the client and Private Investment Counsel
Providing life-based wealth advice and solutions, focusing on enabling client goals
Consistently delivering the desired client experience during all client interactions
Directing and utilizing the team of experts to deliver on wealth strategies and wealth value promise
Partnering with all internal product/service business partners, as required ensuring client needs are met
Actively listening and seeking client feedback on products, services and the delivery of client experience
Responding to client and Senior Management inquiries, resolving problem situations autonomously when they arise
Proactively identifying and implementing strategies to address client needs
Investment Management
Utilizing the KYC process and Investment Profile Questionnaire (IPQ) to develop an in-depth understanding of client’s needs and determining the appropriate asset allocation model based on needs, risk tolerance and short/medium and long term objectives
Recommending an appropriate investment asset mix aligned with life goals, income needs, return expectations and risk tolerance that fulfills client objectives
Collaborating with the Centralized Investment Management team and using defined investment management processes to communicate advice to clients on their strategic asset allocation, models and underlying investment portfolio
Regularly monitoring client investment portfolios
Actively managing the client’s Financial Plan and wealth strategy and participating in the client’s annual Financial Plan review process
Developing and managing business plans including sales targets and marketing strategies for prospective and existing clients
Using a PIC defined business development and sales planning process to find and attract new clients, as well as consolidate assets from existing clients in order to increase share of wallet
Partnering with the Financial Consultants in the business acquisition process
Actively promoting and marketing the development of Private Investment Counsel’s book of business
Identifying new business opportunities to gather additional assets and/or increase revenue
Developing acquisition strategies, managing and maintaining a prospect sales opportunity pipeline in order to generate sustainable and profitable growth. This includes effective follow-up with prospects/referrals for any unsuccessful opportunities
Participating in local professional and community events and associations to develop and expand network of contacts
Meeting with key industry and business leaders to identify prospects and referrals from internal and external networks / Centres of Influence (COI)
Collaborating and networking with internal and external stakeholders
Identifying referral opportunities for Scotia Private Client Group partners, ScotiaMcLeod, Commercial Banking, Retail and other key partners (Roynat, GTB, International, GBM, etc.)
Representing Private Investment Counsel at various business development events, internal and external presentations
Maintaining awareness and ensuring compliance/adherence to all procedures, regulatory activities and guidelines including Privacy, Anti-Money Laundering, Anti-Terrorist Financing, FCAC, Know your Client, Occupational Health & Safety and Guidelines for Business Conduct
Maintaining client portfolios in accordance with established firm strategy which includes, utilizing the Central Portfolio Models and pools, focusing on client segmentation and client’s risk appetite
Ensuring the suitability of wealth strategy and investment recommendations and alignment with clients’ financial goals, objectives and risk levels
Team Management / Membership
Providing strong team leadership / management to Investment Relationship Managers and Portfolio Administrators
Exhibiting an ability to listen, negotiate and communicate goals
Ensuring the performance management process is in place and employee development is a priority for all employees
Regularly scheduling and executing touchbases and team meetings
Identifying and supporting training and developmental needs of team members
Contributing to the effective and positive functioning of the Private Investment Counsel team and partners
Building effective working relationships across the team and with various business line, internal and external stakeholders
Maintaining a high level of client service and effectively resolving / escalating client issues as required
Actively participating and contributing to coaching sessions, touchbases and team meetings
Thorough investment management know-how and depth of experience required as it relates to understanding economic and market data in order to describe the firm’s investment strategy to partners and clients
CSC & CIM, or its predecessor CIF
CFA would be an asset
Minimum 5 years direct experience in discretionary investment management, covering both financial analysis and managing portfolios (individuals, estates, trusts, pension plans, foundations, registered accounts), with an expert understanding of investment returns, potential risks and the associated tax implications
Strong interpersonal, communication & listening and people management skills
Executes with Integrity
Thorough knowledge of each SPCG & PIC Business Line’s value proposition
Thorough knowledge of the full SPCG product and service offering in order to identify opportunities across the SPCG Team of Experts

128

Counterparty Risk Investment Senior VP-inva Resume Examples & Samples

1) Excellent partnering and communication skills
2) Ability to constructively challenge and collaborate to find creative solutions
3) Experience in fundamental credit analysis of financial companies
4) Familiarity with capital markets and clearing activities: in particular, derivatives and securities lending activities that give rise to counterparty exposure
5) Familiarity with reinsurance is a plus
6) Management experience is a plus

129

Cees-bespoke Administrator, Investment Team Resume Examples & Samples

Actively manage relationships with beneficiaries/clients in relation to those transaction types providing excellent customer service
Accurate preparation of Trustee review, Investment subscriptions, redemptions and switches within and between fund managers/Brokers including foreign exchange prior to approval and execuation of investment
Preparation of Trustee review paperwok prior to approval and execuation of investment
Investment subscriptions, redemptions and switches within and between fund managers and managed accounts including foreign exchange
Maintain and enhance Managed Account relationships
Professional qualification preferred but not essential (ICSA/STEP/ACCA/IOC)
An understanding of the tax implications of providing certain benefits and when it is most appropriate to provide such benefits
LI-SS2

130

Trust Investment Service Representative Resume Examples & Samples

Bachelor’s Degree in Business, Finance, or related field
4-7 years of related job experience
Expertise with PNC investment products, demonstrated technical investment expertise, presentation skills, leadership and relationship management skills
Must be able to effectively communicate at all levels, internally and externally, from clerical to executive management

131

Investment Administration Analyst Resume Examples & Samples

Bachelors Degree
5-8 years in compliance, risk management or operations in the financial service business
Thorough knowledge of the securities industry and investment compliance regulations
Proven analytical and decision making skills
Ability to problem solve and work toward process enhancements
Excellent interpersonal, oral, written and communication skills
Excellent project management skills with proven ability to work across lines of business with both peers and upper management levels

132

Investment Performance Analyst Resume Examples & Samples

Leading the initiative to develop GIPS-Compliant Composites for AMG
Working closely with team members in AMG in the development of GIPS-Compliant Composites
Creating GIPS-Compliant Composites, working closely with internal AMG teams and third-party providers (verifiers and performance vendors)
Leading the initial and ongoing GIPS Verification audits working directly with third-party verifiers
Keeping current with GIPS and performance reporting standards (e.g., CFA and third-party verifiers)
Developing and maintaining all policies, disclosures, and GIPS-required documentation
Partnering with other departments to ensure proper use of GIPS Composites in any Request for Proposals (RFP) or marketing materials
Understanding Investment Management Services offered by AMG
Provide training and Subject Matter Expertise (SME) to internal teams as it relates to GIPS Standards and Composites
Preparing and distributing performance reports to internal AMG teams
Compiling and maintaining all performance results for composites and related benchmarks
Bachelor’s degree required, major in Accounting, Finance, Business or Math preferred; MBA would be a plus. CFA and/or CIPM (Certificate of Investment Performance Measurement) certifications would be desired
Requires detailed knowledge of GIPS performance standards, investment performance reporting concepts calculations and methodologies, data required for performance system processes and functions, rate of return calculations, and risk analysis
Experienced analyst will have a good understanding of financial markets, investment strategies, risk statistics, investment performance and attribution methodologies
4-6 years of investment-related experience required. (6 to 8 years required without a degree.)
Strong analytical, problem-solving, interpersonal, communication, and presentation skills required
Strong computer skills required with experience in accounting systems and performance systems. Should also have excellent spreadsheet and Microsoft Office skills
Ability to work independently, and within a team, on a variety of projects, receive instructions from a number of people and meet project deadlines
Ability to produce accurate work in a timely fashion under the pressure of deadlines
Ability to prioritize and complete several scheduled and ad hoc assignments within tight time frames

133

Institutional Investment Group Account Manager Resume Examples & Samples

A minimum of 6 years in basic accounting or business finance
Must have previous experience in investments, client service and legal principles (including ERISA)
Experience with employee benefit and/or not-for-profit, tax, and corporate structure is required
CEBS (Certified Employee Benefit Specialist), CTFA (Certified Trust Financial Advisor) licenses preferred
CPA, MBA and JD (Juris Doctor) also preferred
Must have excellent writing and communication skills
Must also have the ability to comprehend legal and federal regulatory documents

134

Investment Services Associate Resume Examples & Samples

Ability to demonstrate expert level knowledge of PNC Investments product, services and industry trends
Ability to effectively perform and contribute to not only your own, but your fellow team member’s development and expertise in highly collaborative team environment
Expert level interpersonal and communication skills with exceptional ability

135

Middle Office Analyst Alternative Investment Partners Resume Examples & Samples

Help coordinate reporting from various groups within the accounting and operation groups to project cash availability and cash needs in the future across all portfolios
Work with other members of the Middle Office team to process various subscriptions and redemptions as requested by the investment team
Coordinate the Onboarding of new funds – this includes liaising with different groups including legal, Document management
Facilitate client onboarding – this includes AML requests, fund questions regarding underlying client
Interact with portfolio managers and analysts on a daily basis on a variety of requests
Collaborate with the Information Technology team to increase the effectiveness and availability of reporting
Complete investment subscription documents accurately and efficiently

136

Special Investment Group Resume Examples & Samples

Independently conduct detailed credit analysis of underlying assets based on proprietary and third party due diligence and recommend appropriate debt structures and terms
Build detailed financial models as well as sensitivities to the business plan
Attend bank/sponsor meetings and due diligence meetings/call and help coordinate due diligence
Take a leading role in the internal credit approval process for proposed transactions, from inception through execution, including presentation at investment committee
Monitor and report on transactions post-closing
Participate in negotiation of legal documentation
Bachelor's Degree with credit and structuring experience with progressively increasing responsibility and broad knowledge of structures for risk mitigation
Experience with complex credit agreements and portfolio management processes including identifying and tracking performance metrics
Strong working knowledge of PD and LGD models, as well as risk ratings
Knowledge of and actual experience in global distressed debt transactions, including detailed knowledge of European markets and legal systems
Track record executing structured finance transactions in Europe, preference for NPL transactions in Spain and Italy
Knowledge/experience in European NPL market
Strong financial engineering skills and fundamental understanding of structured finance
Communication skills: Clearly articulates view point verbally and in writing, fostering confidence when sharing/ presenting information
Dependability: Reliable, responsible, dedicated, committed, team player that fulfills obligations
Experience in making sound recommendations after seeking and evaluating relevant information, facts and evidence
Italian or Spanish language would be an asset
MUST be willing to travel up to 40% of the time
MUST be willing to work out of the London UK office

137

Investment Bank Change Project Manager Resume Examples & Samples

Manage all aspects of such a project, including mobilization, shaping, execution and closedown, with minimal supervision
Manage multiple projects and take full, end-to-end responsibility for their projects
As part of the G20 commitment to implement derivatives reform to improve transparency and reduce risks associated with Over The Counter (OTC) derivatives market, a number of APAC regulators have mandated central counterparty clearing (CCP), trade reporting (TR) and Electronic-trading for eligible derivatives contracts
The APAC Derivatives Regulatory Review (DRR) program is established to define and implement the required OTC derivatives infrastructure that will support these emerging APAC regulatory requirements, including
Assessment of the impact on CS businesses
Definition of CS’s derivatives business model and required infrastructure changes
Implementation of required changes to support desired business capabilities and regulatory requirements
Scope the project
Identify the impact of the project on the business lines and support departments
Identify the key stakeholders, define the project governance model and roles and responsibilities
Liaise with the various business units and support departments to identify priorities and agree solutions
Actively manage project delivery against quality standards and targets from a milestones, resourcing, budget and timeline perspective
Allocate resources & drive the completion of tasks
Monitor, track and report project progress to the stakeholders
Ensure actions, issues, risks, dependencies are identified and effectively managed / mitigated
Ensure communication within the project and to external stakeholders
Deliver project objectives and ensuring project benefits are realised
Prepare all project artifacts including but not limited to Business Requirements Documents (BRD) and test plans and the ability to translate detailed regulations into requirements documents
Preparation of operating models and user manuals (where applicable)
Industrial Participation
Represent Credit Suisse in participating industrial forums (i.e. ISDA, Markitwire and local regulatory forums) to monitor DRR pipeline and requirements
Cascade and engage internal stakeholders (e.g. Legal & Compliance, Front Office, Country Management) to update on the industry / regulatory developments
Establish and leverage internal & external network to clarify regulatory requirements / timeline
Create a good understanding and general awareness of DRR in terms of its impacts across jurisdictions / asset classes and businesses

138

Investment Bank Change Program Resume Examples & Samples

Manage all aspects of such a project, including mobilization, shaping, execution and closedown, with minimal supervision
Manage multiple projects and take full, end-to-end responsibility for their projects
As part of the commitment to implement derivatives reform to improve transparency and reduce risks associated with Over The Counter (OTC) derivatives market, a number of APAC regulators have mandated central counterparty clearing (CCP), trade reporting (TR) and Electronic-trading for eligible derivatives contracts
The APAC Derivatives Regulatory Reform (DRR) program is established to define and implement the required OTC derivatives infrastructure that will support these emerging APAC regulatory requirements, including

139

Corporate Compliance Packaged Investment Products Executive Director Resume Examples & Samples

Establish and implement a Compliance Program for providing timely, accurate and consistent advice and support to CWM business partners and Control Function partners for coverage of Packaged Investment Products
Coordinate with other CWM Compliance functions, such as RCOs, Training and Policy & Procedures, to proactively identify needs training and policy guidance as the subject matter expert on Packaged Investment Products
Work effectively with colleagues from other Compliance units, Product Management, Legal, Risk & Control, Operations, and the CWM Business and coordinate across other areas of the Firm to support the CWM business efforts to effectively manage compliance risks related to Packaged Investment Products or broader Compliance initiatives
Represent the CWM Compliance function in various cross-functional governance forums with senior control function partners
Provide support for regulatory examinations and inquiries related to Packaged Investment Products, including analysis, document/information production and representing CWM Compliance in meetings with regulators
Present reports to management and peers; proactively update management on major, high profile, and/or high risk issues or regulatory priorities
Demonstrate excellent communication skills
Establish and build a referral network of industry peers
Perform other functions as requested
A bachelor's degree, required
Superior knowledge of brokerage products and their features, including mutual funds, ETFs, ETNs, 529 plans, and retirement products, with strong knowledge in other brokerage products, such as equities, fixed income, structured products, options, alternative investments, annuities (both variable and fixed) and investment advisory programs
Series 7, 24, 65/66, and a state insurance license would be a plus

140

Manager, Investment Company Act Products Resume Examples & Samples

Manages communication with other business units, departments and vendors to meet required service level standards in relationship to Investment Company Act product development
Manages maintenance of the files for multiple federal securities required filings
Manages the distribution process for federal securities required mailings
Manages the relationships with sub-advisors as it concerns the Investmetn Company Act products and the fund boards of directors
Interprets federal rules, laws and regulations to determine the effect on new and existing products and distribution requirements
Works with internal and external counsel to develop Investment Company Act product disclosure and manages the filing process with the SEC
Analyzes comments from the SEC and works with internal and external counsel to generate a response
Works with Compliance to manage responses to litigation, market conduct and regulatory exam requests
Performs extensive research and analysis to determine solutions for business needs
Leads special projects with cross functional teams
Prepares and complies fund board materials. Works with internal and external counsel, executive management and fund boards of directors in conjunction with fund board meetings
Attends fund board meetings
Negotiates and drafts contracts
Participates in the interview and selection of new employees
Other duties as assigned based on divisional needs

141

Investment Services Analyst Resume Examples & Samples

Manage daily production, execution, trade oversight, and issue resolution
Document and maintain processes to oversee implementation of existing and new portfolio models and strategies, including
2+ years of experience within financial services and/or data management/programming skills including advanced Excel Access, VBA preferred)
Experience with Fixed Income and/or Equities a must
Understanding of compliance and regulatory practices
Experience in quality control/process related roles
Understanding of trading and settlement of individual securities and investment products
Strong relationship management skills (internal/external); team-oriented professional who serves as the team's point of contact and key resource to business partners
High level proficiency with Excel; and demonstrated capability to learn and utilize other software tools
Experience with trading, reporting, research, and other analytical applications
Knowledge of investment tools such as Bloomberg and Morningstar a plus
Solid decision making skills and judgment. Able to present information in logical, fact based manner through both written and verbal mediums
Ability to multi-task and operate independently on both short term initiatives and long term projects

142

Aon Campus Launch Investment Consulting Performance Specialist Resume Examples & Samples

Maintain accurate and up-to-date historical documentation in hard copy and electronic formats
Prepare and organize data for client performance reports
Proficiency with Microsoft Office applications, including the ability to create graphs and tables using Excel and proprietary software
Maintain and populate databases
Maintain a high level of competence on all Aon Hewitt EnnisKnupp analytical systems
Contribute to firm’s investment manager research function
Operate with limited supervision in completing assigned responsibilities
Provide support for assigned client and research responsibilities, as needed
Demonstrate initiative and ownership in completing projects
Ability to meet deadlines and work with a variety of different internal clients
Have a basic knowledge of finance/investments including

143

Alternative Investment Reconciliation Supervisor Resume Examples & Samples

5+ years of experience in financial services including at least 1 year of supervisory experience within an investor services environment. Alternative investor services experience preferred
Proven client customer service skills
Ability to multi-task, manage multiple projects, and meet deadlines

144

Private Equity Investment Executive Maternity Cover Resume Examples & Samples

Helping to develop potential new themes and product ideas for launch on the UBS Global AM platform
Performing the due diligence on such funds and participating in the ongoing monitoring of such investments
Meeting with select UHNW clients to assist in the marketing process for such fund opportunities
Assist in managing the team and training the more junior professionals

145

Asset Mgt Global Investment Resume Examples & Samples

At least 4 - 6 years of Asset Management audit or business experience
Detailed knowledge of products and services provided within an Investment Management business
Knowledge of applicable laws and regulatory requirements such as Investment Advisors Act, Investment Company Act and ERISA
Proven ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically
Proven ability to be able to multi task and be able to change priorities
Works well individually, and in teams, shares information, supports colleagues and encourages participation
Strong skills in time management, problem solving, written and oral communication
Enthusiastic, self motivated, effective under pressure and willing to take personal risk and accountability
Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness
Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
Be prepared to travel to the business locations
Minimum bachelors degree in Accounting, Finance, Economics or related discipline
MBA degree, professional accountancy qualification and/or other professional certifications, such as Series 7, CFA, or CFIRS are a plus

146

Investment Resume Examples & Samples

Perform asset manager research that supports investment-related interactions with current and prospective plan sponsor clients
Involvement in special projects that align with key business initiatives
Facilitate wire transfers, electronic funds transfers, and check disbursements to meet daily processing deadlines
Responsible for electronic communications with financial advisors and clients
Produce ad-hoc Microsoft Excel reports
Service existing clients and assist with new clients
Schedule client meetings and prepare meeting packet, follow through & document action items
Input data into financial planning and retirement software, and review, interpret and edit reports and projections as needed
Bachelor’s degree or higher required
3+ years of industry experience required
Possess or working towards Series 7 / 66 and/or CFA
Strong knowledge of the financial markets, macro-economic factors, risk/return fundamentals
Ability to interact with high level executives, management, sales, consultants, etc
Effective oral and written communication skills and participating as a member of a team

147

IMD, Gsam, GS Investment Partners Resume Examples & Samples

Conduct fundamental research on companies and sectors
Carry out in-depth valuation work
Help in monitoring/hedging current investments
Contribute to idea generation on public market investing
Develop relationships with sell-side sales coverage, research analysts and corporate management teams to source investment ideas
Knowledge of valuation and accounting
Strong modeling/analytical skills
An outstanding record of professional and academic achievement
Good investing mindset, ability to think independently about an investment
Solid interpersonal skills; motivated, hardworking team player
Experience either in IBD, Research, Consulting or an Investment Group
Language skills: Fluency in both English and Japanese

148

Counsel Investment Adviser s Act Resume Examples & Samples

Providing legal advice on managed account alternatives, including discretionary and non - discretionary fee-based offerings, SPS Advantage, Active Portfolios and Separately Managed Accounts
Advising senior business leaders on legal, regulatory and business acquisition issues relating to Ameriprise's core value proposition of providing comprehensive financial planning to clients
Cultivating and promoting relationships with key business partners and fostering and promoting a culture of compliance
Conducting research regarding legal and regulatory requirements as well as benchmarking industry practices
Collaborating with Compliance personnel on relevant compliance related matters and identifying, developing and implementing control enhancements and risk mitigation strategies
Interacting with federal, state or SRO regulatory personnel to respond to regulatory requests examinations or inquiries or to participate in committee work
Providing support and direction to direct and indirect reports
Working with regulators, outside counsel and independent experts from time to time on examinations and other issues
JD with extensive experience and expertise in the Investment Adviser's Act of 1940, state securities and investment management statutes and regulations, and applicable self-regulatory organization rules
7 to 10 years of experience as a practicing attorney supporting the financial services industry
Ability to influence, gain credibility and develop strong working relationships with business partners and external constituencies
Knowledge of applicable regulatory and industry trends
Excellent interpersonal, problem-solving, communication, presentation and contract drafting and negotiation skills
Proven leadership and change management skills
Admitted to practice law in the state of Minnesota or eligible for admission as house counsel

149

Fixed Income Research Investment Intern Resume Examples & Samples

Generate regular and periodic reports
Analyze and communicate drivers of performance and risk
Complete ad-hoc projects as assigned
Opportunity to learn from experienced team of investment professionals through exposure to all aspects of the investment process
Sophomore or Junior status with Finance, Economics, or Applied Mathematics major
3 GPA or greater
Analytical and detail oriented
Microsoft Excel, PowerPoint and Word proficiency
High level of self-motivation and ability to multi-task
Knowledge of VBA or MATLAB

150

Investment Governance Analyst Resume Examples & Samples

Managing the execution of the Investment Governance Framework
Ensuring timely compliance with the Investment Governance Team's activity calendar
Maintenance and prioritisation of Investment Governance Team's due diligence log
Coordinating upfront and ongoing investment due diligence identifying managed investment actions that warrant review and conducting follow up actions for any due diligence activities
Acting as a key point of contact for managed investmentrelated queries from external clients and the business
Leveraging Investment Governance capabilities for client, adviser and business insights
Assist projects relating to the governance and administration of the Wrap platform investment menu
Maintaining strong relationships with internal clients and other internal teams, including the Service, Sales and Operations teams and Wrap Product Management

151

Investment Policy & Data Analyst Resume Examples & Samples

Read and interpret IPS requirements, statutes, and laws; annotate Investment Policy Statements and translate into CRD or manual testing process
Write tests in CRD ensuring rule construction are complete & accurate and adhere to independent quality review process
Monitors and researches policy alerts generated in CRD during pre-trade, post-trade, and batch compliance
Monitors and resolves data exceptions in CRD
Work with IPS team, including client service, investment team, operations, compliance and legal to ensure open questions and issues are resolved
Supports data governance initiative
Assist portfolio managers with trade issues relating to compliance issues, data exceptions, or processes
Minimum 3 years’ experience in comparable position
Bachelor’s Degree (minimum), in Finance or Business Administration
Working knowledge of a variety of investment types including fixed income, equity, derivatives, and global fixed income
Must be organized, self-motivated and deadline oriented
Candidate should be familiar with post/pre-trade monitoring of investment guidelines and relevant portfolio exposures using the Charles River IMS

152

Global Marketing Investment Analysis Lead Resume Examples & Samples

Lead the NA marketing mix modeling work, and develop recommendations for global modeling standards. Ensure ATL marketing dollars are allocated as effectively as possible to drive business results, at a macro level across regions and channels
Manage marketing impact analytics. Determine effectiveness of marketing efforts through all stages of the marketing funnel, from awareness to acquisitions and usage. Ensure that we can clearly dimension the ways in which marketing efforts drive business results, through the use of internal and external tools including marketing mix modeling. Partner closely with the business line analytics teams, business and functional partners to build a holistic view of marketing impact
Lead media analytic function. Partner with functional counterparts to identify opportunities to improve media efficiency and effectiveness across NA and global business units. Create test plan in conjunction with third party vendors to enhance our ability to target media more accurately in order to achieve business results. Establish media analytic team which partners closely with media agencies to determine optimal channel mix and targeting strategy, based on test results
Lead the creation of global standards for marketing impact analysis. Oversee ongoing global marketing spend analysis and reporting. Partner with the global marketing organization to development a comprehensive analytic framework for social media
Provide actionable recommendations to functional and business partners on marketing spend allocation, media planning, and targeting. Manage team of 3-5 professionals
Strong track record of achievement in assessing impact of marketing on brand and business outcomes
Strategic and project management capabilities coupled with strong analytic and operational capabilities – able to work at the highest levels, and get into the intricate details
Demonstrated ability to synthesize information, prioritize business goals and drive results with a high sense of urgency
Proven leader with expertise in media and marketing analytics, and global experience
Demonstrates a flexible approach and resilience to setbacks and is able to drive operating and culture change through articulation of a long-term vision
10-15 years overall work experience

153

Global Investment Product Management Alternative Investment Resume Examples & Samples

Liaise and coordinate with Big 4 external tax preparers and fund administrators to complete and file federal, state, local
And international tax returns
Participate in fund’s tax structuring and due diligence process with research analysts, external managers and consulting
Firms
Review private equity/real estate offering and closing documents as funds are launched; work with internal and external partners on setting up appropriate tax blockers
Review funds’ tax documents to ensure compliance with tax laws
Review capital calls / distributions and annual financial statements from a tax perspective
Communicate with external service providers, third party administrators, auditors, tax advisors, lawyers, investment managers, product management and client service groups on tax matters
Manage fund tax information - organization documents, quarterly and annual reports, activity, and other items
Log activity by funds ensuring timely completion of all fund tax obligations
Oversee unique country specific tax reporting process with Big 4 accounting firm
Respond to tax technical investor relations/bankers inquiries
Assist various regional operation groups in US source withholding and reporting matters for Alternative Investment Funds
Assist in ad hoc tax related projects

154

Plan Investment Analyst Resume Examples & Samples

Utilizes databases/content management systems to create and maintain plan records for investment reporting purposes
Independently, and under deadline, prepares information and produces assigned items for investment reports, including, but not limited to, a meeting agenda, commentary, fund profiles and monitoring reports
Finalizes reports in bound or electronic copies, and distributes reports, internally or externally
Creates/edits/distributes other investment documentation, internally or externally
Maintains the reliability of the investment review processes by tracking changes and conducting verification among third-party recordkeeping systems, and with vendors’ representatives
Maintains electronic and paper files per plan as related to investment documentation
Effectively identifies and communicates issues with other operations staff, management or clients, as directed
Independently, and under deadline, completes assigned tasks from the Retirement Plan Consultant(s) to support plan operations
Assists, as needed, in the investment setup responsibilities for new plans
Assists with other defined contribution special projects
Performs other duties and responsibilities as reasonably requested
High School Diploma or GED required; Bachelor’s degree in Business Administration, Finance or Mathematics preferred
1 year of relevant work experience; knowledge of basic investment and pension compliance preferred
Must obtain and preserve required licenses/certifications/designations from FINRA and/or ASPPA
Demonstrated mathematical aptitude
Proficient use of applicable technology

155

Am-investment Middle Office Product Support Analyst Resume Examples & Samples

Undergraduate degree preferred; concentration in Finance or Business Management a plus
In-depth knowledge of Excel, PowerPoint and Internet technologies
Attention to detail with superior written, verbal, and excellent problem solving skills
FINRA Series 7 & 63 required

156

Investment Services Representative Resume Examples & Samples

Respond to incoming calls efficiently and effectively, providing a high level of service and timely follow-up, asking appropriate questions, disseminating investment information and guidance as appropriate
Open new accounts for existing clients as warranted
Facilitate securities transactions at client’s request
Research and resolve complex problems in client accounts
Compose effective client communications in accordance with established policies and procedures
Develop asset allocation profile based on clients’ risk tolerance, time horizon and investment objectives and deliver advice to implement the proposed asset allocation via mutual fund investments
Initiate client contact with intent to deepen the relationship and uncover client needs (to the extent that cross-border rules allow for foreign accounts)
Assess consistency with investment objective and portfolio holdings and make recommendations for portfolio adjustments as appropriate (to the extent that cross-border rules allow for foreign accounts)
Develop proficiency with available technology as it relates to client service and business enhancement (including but not limited to BetaLink, ClientSource, Bond Desk, Morningstar, Outlook, InfoNET)
Achieve solid understanding of eligible product offering including mutual funds, 529s plans, RBC Strategic Mutual Fund Portfolios, RBC Dynamic Allocation Portfolios, and other investment products (equities, fixed income, etc.). In addition, be aware and proficient in internationally focused products (such as offshore mutual funds) that may be available for some of our international clients
Stay current with market and industry trends and developments
Be knowledgeable of and comply with all rules and regulations of the firm and regulatory agencies, including any cross-border rules associated with the country that a foreign client currently resides
Perform other duties as required that contribute to the overall effectiveness of the position as well as to the team as a whole
Assist in the transfer of international client relationships into the International Service Center and ensure that correct client documentation has been obtained from the client to meet all cross-border and other regulatory or policy needs
Ensure that representative has strong understanding of unique foreign client (foreign organized entities, foreign citizen/residents and US citizens living abroad) needs and ensure that client interactions adhere to all enterprise and firm foreign country cross border legal rules
Assist in transitioning clients from ISC back to IFAs (or domestic FAs if client is now considered domestic client) when client situations have changed and their needs would be better served by a dedicated financial advisor
Minimum of 3 years industry experience
Series 7, Series 66 (or 63 and 65)
Authorized to work in the U.S. without requiring visa sponsorship
Client-service experience
Knowledge of investments, the markets and regulatory policies and procedures
Strong inter-personal skills - ability to build relationships and work effectively with a wide range of personal styles
Equally effective as solo contributor and team player
Analytical, problem-solving and computer skills (Excel, Internet Explorer, Word, Outlook)
Ability to work effectively in a fast-paced, time-sensitive environment, managing multiple demands and competing priorities
RBC employs more than 79,000 employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 44 other countries

157

Investment Performance Analyst, Private Bank Resume Examples & Samples

Performance Measurement (70% of effort)
2+ years of in Investment Analysis/Reporting in the financial services industry
Knowledge of the securities processing and investment management industry including performance measurement and reporting
Experience in problem analysis and resolution
Good understanding of financial markets, investment management, economic and financial concepts
Broad knowledge and understanding of products or processes related to investment management in general and to BMO Private Bank in particular
Progress towards pursuing the #CIPM designation, or willingness to pursue designation post hire
Attention to detail and priority given to risk inherent in the investment management business
Ability to identify problems and independently develop well researched and documented solutions for management approval where necessary
Good judgment and tact
Initiative, accountability and personal responsibility
Reliable, mature, team player
Solid working knowledge of PerformanceStation, FactSet, Zephyr a plus

158

Citibank Berhad Kl-investment Portfolio Consultant Resume Examples & Samples

Candidate must possess at least a Bachelor's Degree, Professional Degree or Master's Degree in Business Studies/Administration/Management, Economics, Finance/Accountancy/Banking or equivalent
Minimum of 5 years experience in banking and/or investment industry
Well-versed in investment and/or insurance products and services such as equities, bonds, foreign currencies and/or life insurance
Good awareness of competitive environment and economic climate
Strong initiative in driving business and customers focus

159

Investment, VP-cap Resume Examples & Samples

Daily trading decisions
P&L attribution and reporting
Communicating hedge results with internal and external constituents
Technical analysis
Analytics involving reinsurance and other hedge alternatives
Knowledge of derivative instruments including
Minimum of five years of relevant capital market experience
Experience working on a trade desk. Sell side experience beneficial
Past experience executing derivative trades
Prior history of managing relevant capital markets risks
Masters, MBA and/or CFA required
Hedging experience required
Variable annuity experience is a plus
Ability to use financial pricing systems such as Summit and Numerix a plus
Prior leadership experience

160

Investment Bank IT Portfolio Management Analyst Resume Examples & Samples

Experienced with PowerPoint, Excel, and other data analysis tools (ex. Tableau, Access)
Familiarity with SharePoint
Solid financial/accounting skills and attention to detail
Excellent communication skills (spoken, written, and visual)
Experience with technology and/or business planning within an Investment Bank or other large scale organization a plus
Clarity (OnePPM - or other PPM system) experience a plus

161

Head of Investment Product Analytics Resume Examples & Samples

Establish robust framework to review product performance, incl. performance attribution
Assess existing investment processes and models incl. risk analytics / stress testing
Perform data analytics based on data provided by COO team
Prepare key product metrics for Product & Investment Committee and participate at meeting
Based on respective analytics and relevant data build up and manage constructive relations with Fund Rating Agencies (Morningstar, Lipper)
Proactively manage products to ensure best possible ratings
Prioritize / Re-prioritize project universe
Manage talent within the group through driving professional development, identifying and promoting high performers, and overseeing hiring and onboarding
Manage special projects assigned by Global Head of PD+M

162

Investment VP Risk Identification & Assessment Resume Examples & Samples

Providing advisory services to, and collaborating with, various groups in order to effectively manage the market and credit risk within the allocated limit structures; and
Participating in capital discussions relating to market and credit risk with our corporate partners
Masters degree (MBA/MA/MS) or equivalent experience
Ability and confidence to challenge constructively in meetings
Proven analytical and research skills and experience applying same in an investment, risk or actuarial assignment
Strong reasoning and excellent written communication skills. Ability to understand complex technical investment and financial issues and synthesize knowledge into clear, concise business terms to inform senior management decision-making
General understanding of market valuation and market factor sensitivity calculations for a broad range of asset and derivative instruments. Knowledge of price and risk drivers for fixed income instruments is especially important
Prefer seven (7) or more years experience in complex financial analysis, fixed income markets, derivative modeling and/or portfolio asset liability management
Helpful to have knowledge of Prudentials businesses and product offerings. Experience in analysis of insurance products would be a plus
Demonstrated effectiveness working independently and in multi-disciplinary teams in a dynamic environment
Self-starter with ability to multi-task and work effectively under a dynamic environment with limited supervision

163

Investment Service Representative Resume Examples & Samples

Provide knowledgeable, accurate, responsive and professional trading services to RBC Direct Investing Inc. customers, through the prompt and courteous completion of trade instructions via telephone or electronically and provides appropriate information & matches appropriate solutions to meet client need, within regulatory and RBC Direct Investing guidelines
Promotes a professional image of RBC Direct Investing Inc. through effective telephone practices or via written communication skills
Participates in quality initiatives
Apply industry rules and regulations as well as RBC Direct Investing Inc. trading policies to activities, information requests and order executions
Proactively opportunity spots with all clients to enhance sales activities and as appropriate, proactively asks clients for new business
Accurately executes client instructions within defined authorities
Adheres to all trade rules and ensures the client has the means to meet trade settlement obligations
Sole reference point for option trading customers, which, in addition to the handling of all trade instructions includes all necessary follow-up and responses to inquiries

164

Aip-real Estate Fund of Funds Investment Analyst Resume Examples & Samples

Bachelors degree or equivalent with a minimum 2:1 honours degree in the UK or 3.0 GPA score in the US or equivalent
Prior experience required in one of the following fields: investment banking, real estate acquisitions / development, or real estate fund of funds
Extensive quantitative modeling experience (mostly Excel and Argus)
Demonstrated ability to work effectively in a team-oriented environment
Comfortable working across different time zones
Attention to detail and a thorough documentation standard

165

Corporate Governance & Responsible Investment Team VP Resume Examples & Samples

Supervise the regular review and ownership of numerous control reports
Coordinate the daily operations tasks of the global team
Oversee new account set-up and maintenance
Develop and maintain management reporting regarding the status of the operating environment
Participate in, monitor and analyze the global proxy operation and the supporting systems for continuous process improvement
Maintain and manage relationships with all external vendors and other BlackRock departments including but not limited to Finance, Technology, Legal & Compliance, Audit, Thresholds, Fund Administration, Corporate Actions and Client Reporting to facilitate an efficient and controlled production environment and ensure that the team has the resources that they need to meet their objectives
Leverage multiple internal and external systems to resolve operational issues
Project manage systems integration efforts and other strategic initiatives
Provide general support on production and operational matters as needs dictate
Stay abreast of changing regulations or market best standards and adapting the operating environment accordingly to ensure adherence
The successful candidate will have a minimum of 3-5 years of relevant experience and proven track record in investment operations, demonstrating strong aptitude for complex operational tasks
Knowledge of standard office software, with particularly strong Excel skills, Visio, PowerPoint and Word
Bachelor’s Degree or equivalent educational background
Enthusiastic, proactive, self-starter who is highly self-motivated and committed to adding value and delivering superior results to the organization
High level of intellectual curiosity and receptivity to fresh approaches to problem solving
Globally-minded individual who has an understanding of international financial markets, business climates, currencies and cultures
Ability to prioritize and manage multiple projects and tasks simultaneously, with significant project management experience
Autonomous, entrepreneurial thinker
Capacity to thrive in a dynamic global market environment
Team player, willing to help and learn from others

166

Asset Mgmt Risk-global Investment Mgmt Market Risk VP Resume Examples & Samples

Formulate risk data flow and control procedures to ensure appropriate risk oversight and governance when a new book is introduced or a new investment is made
Establish and maintain appropriate risk exposure limits and monitor utilization (VaR, stress, sensitivities) on a regular basis
Apply stress testing to investment portfolios for Bank Holding Company and CCAR reporting purposes, utilizing the market risk stress testing framework developed
Develop risk analytic reports for the senior management team to highlight key risk exposures; present issues at monthly forums
Vice President with 5+ years experience in the financial services industry related to trading, portfolio management and risk management
Knowledge of SQL a plus
Undergraduate degree required; post graduate degree preferred

167

Asset Mgmt Risk Global Investment Mgmt Market Risk VP Resume Examples & Samples

Coordinate with firm-wide risk management teams to drive regulatory governance projects such as Basel reporting, CCAR, instrument authorities, trading consent order, Volcker risk reporting and risk appetite linkage
Assist efforts to improve risk oversight, transparency and infrastructure
Strong product knowledge and quantitative skills with broad range of asset classes (Fixed Income, Equity, FX, Private Equity, Hedge Funds)
Familiarity with modeling and working knowledge of portfolio valuations and risk systems, such as Risk Metrics, a plus

168

Investment Bank Change Business Analyst Resume Examples & Samples

Manage all aspects of testing activities such as testing strategy, test planning, mobilization of resources, chairing daily UAT calls, driving the closure and resolution of issues and daily status reporting, with minimal supervision
Work closely with front to back stakeholders/users to analyse requirements, propose solutions and ensure accurate and complete documentation of requirement
As part of the G20 commitment to implement derivatives reform to improve transparency and reduce risks associated with OTC derivatives market, a number of APAC regulators have mandated central counterparty clearing (CCP), trade reporting (TR) and Electronic-trading for eligible derivatives contracts
The APAC DRR program is established to define and implement the required OTC derivatives infrastructure that will support these emerging APAC regulatory requirements, including
Assessment of the impact on CS businesses
Definition of CS’s derivatives business model and required infrastructure changes
Implementation of required changes to support desired business capabilities and regulatory requirements
1) Business Analysis
Prepare all project artifacts including but not limited to Business Requirements Documents (BRD) and test plans and the ability to translate detailed regulations into requirements documents
Preparation of operating models and user manuals (where applicable)
2) Test Management
Document test strategy, schedule and test plan and communicate plan to all impacted resources/stakeholders both onshore and offshore
Coordinate all aspects of testing activities, working closely with stakeholders, project managers to drive closure of issues and complete testing within the planned timeline
Ensure timely communication of testing activities and daily status reporting
Chair daily testing calls
Work closely with users and stakeholders to produce test cases/scripts
Degree in Finance/Banking (preferred)
2) Project Experience
At least 4-6 years of relevant experience in business analysis in financial services or an international Investment Bank
Proven track record as a BA in managing change initiatives involving systems, processes and/or people changes; preferably in a front-to-back capacity
Ability to multi-task, prioritize and adapt quickly to shifting priorities and demands independently; whilst appreciating own personal limitations, and know when to escalate or seek guidance (where required)
Experience in formulating business requirements (BRD), test plan and RAID log i.e. strong documentation skills
Good knowledge of IT: managing IT-oriented projects, user requirements / testing. Must have interfaced with technology groups and IT implementations
Good knowledge of the investment banking industry (in terms of products, front-to-back processes)
Knowledge and experience in delivering similar regulatory projects (e.g. Dodd-Frank Act, European Market Infrastructure Regulation), and familiarity with APAC OTC Trade Reporting requirements are desirable
Ability to apply sound business knowledge and logical thinking to quickly uncover the central issue when analyzing a problem; take ownership for issues and driving them to closure
Good capability with MS Office tools (e.g. MS Project, Visio, Powerpoint, Excel, Sharepoint)
3) Soft Skillls
Good relationship and interpersonal skills - ability to engage and manage diverse group of stakeholders at all levels and across location
Ability to build harmonius, effective and long-lasting relationships with cross-functional and cross-geograpohical partners in resolving conflicts and building consensus
Strong communications skills (verbal and written) at all levels - clear and concise
Excellent organisational skills

169

Junior Investment Analyst Resume Examples & Samples

Develop financial models and analyses; create, evaluate, and assist in execution of business plans and strategic initiatives
Prepare and present investment memoranda for potential investment decisions
Help perform due diligence and conduct market research and related industry networking
Produce periodic graphic presentations and written commentaries based on recent market and investment trends
Participate in and prepare materials for company presentations and management meetings
Perform statistical analysis on market trends as related to investments and current and upcoming initiatives
Bachelor’s degree in mathematics, statistics, finance, or related field required
CIPM certificate or work toward certificate valued
1-2 years of related experience, preferably in the financial services and/or insurance industry with a focus on investment performance analytical roles experience preferred
Understanding of financial markets and investments
Exceptional communication skills, both written and oral
Advanced quantitative and computational skills with advanced use of MS Excel and Word
Ability to prioritize and multi-task in a deadline driven environment while still maintaining a strict attention to detail
Ownership, accountability, and integrity
Entrepreneurial self-starter and willing to increase knowledge and exposure to Insurance practices and procedures
Passionate about investing and developing a new and growing business
Team oriented individual with ability to work constructively and collaboratively with diverse groups

170

Cib-investment Data Ops Specialist Resume Examples & Samples

Daily Price review, analysis and validation of all investment assets held within the Investment Funds
Analysis of Financial Market information and index movement as related to price movements
Review team performance on an ongoing basis
Lead weekly team meetings with all team member
Ensure staff planning to ensure all required activities are achieved within the required SLA
Perform daily pricing and validation of all investment assets
Analyse price movements against market expectations
Provide Subject Matter Expert support to Fund Administration Service teams
Liaise with pricing vendors and brokers to resolve issues and minimise risk
Complete all daily, monthly and ad-hoc tasks as required accurately and to deadline
Escalate all issues promptly and effectively to supervisor
Contribute to ongoing developments of the pricing control process
Ad-hoc project work as directed
Analytical and logical with good investigative and issue resolution skills
Working knowledge of financial markets and products
High level of accuracy even under pressure
Able to work within a team and interact across departments
Self-motivated and pro-active, able to meet tight deadlines
MS Applications particularly Excel
Should have knowledge in use of Macros / Queries on MS Excel / Access a plus
Basic knowledge or working experience in industry
Good Analytical Skills / Attention to details
Working knowledge of information providers and pricing vendors services and products e.g. Bloomberg, Reuters (a plus)
Graduate of Finance / Accounting or Business related course
Knowledge of external reference data providers -BLOOMBERG, REUTERS, etc. will be an advantage
Excellent communication skills both oral and written
Ability to multitask effectively
Focus on quality and controlled environment

171

Summer Student RBC PH&N Investment Counsel Resume Examples & Samples

Pursuing University Degree and CSC preferred
Canadian Securities Course mandatory
Investment Industry experience preferred

172

Investment Funds Advisor Resume Examples & Samples

Provide investment advice to all existing and prospective non-discretionary clients over the phone, which includes but not limited to
3 - 5 years of progressive experience in the investment industry, with experience providing client service & investment advice
Must have Mutual Funds License (IFIC) or Canadian Securities Course (CSC)
Strong oral and written communication skills; must have personable and professional telephone skills
Good problem solving sills
CFP, CFA, CIM considered an asset but not required

173

Manager, Investment & Retirement Planning Resume Examples & Samples

Primary accountability is to achieve profitable sales targets by providing leadership, direction and ongoing coaching to the IRP team, building employee engagement through focused sales routines
Build and lead a team to focus on client acquisition, building profitable relationships and advice capabilities to achieve revenue goals
Collaborate with geographical/regional teams in the implementation of strategies. Champion sales management practices to achieve a superior client experience, profitable business growth, business retention and productivity
Leverage full RBC capabilities including branches, alternate delivery channels and service partners to achieve RBC’s business goals. And cultivate local business opportunities through the development of relationships within the community and centres of influence
Possess Personal Financial Planning (PFP) or Certified Financial Planner (CFP) designation
Possess Branch Compliance Officer (BCO) designation
Possess Investment Funds in Canada (IFIC) or Canadian Securities Course (CSC) designation
A minimum of 3 years Sales Management experience – a proven track record of sales managing teams of investment professionals as well as implementing sales objectives and initiation of strategic initiatives
Proven application of business acquisition – establishing community and client relationships, and with success in business growth
Action orientated and possesses the ability to develop and motivate a sales team
Strong organizational skill – ability to manage a geographically diverse and mobile team
Well developed impact and influence skill - ability to work with a wide variety of business partners to achieve success within a market place
Sound problem solving abilities, while also having the ability to recognize future opportunities
Sensitive to diverse cultures – address local community needs through appropriate recruitment and management practices
Ability to speak another language would be an asset

174

Investment Client Services Representative Resume Examples & Samples

Serve as a member of the call center team receiving telephone inquiries regarding customer accounts from customers, bank employees, and clearing firm
Provide assistance to external and internal customers attempting to open brokerage accounts or deposit stock certificates
Provide assistance to external and internal customers in transferring accounts to and from the brokerage department
Assist online customers with account access and online use
Support the operations department in collecting needed information and documentation from customers
Track and document customer calls
Provide stock quotes when requested by external and internal customers
Aid in the resolution of returned mail
Assist in gathering client information regarding corporate actions and reorganizations
College degree or equivalent education and related training
One year experience in securities industry
Ability to communicate effectively with customers, managers, and other employees
Exceptional telephone skills
Ability to evaluate, assimilate and utilize detailed and complex written and verbal technical information
Series 7 Financial Industry Regulatory Authority (FINRA) Registered Representative License
Series 63 State License
Three years experience in the securities industry

175

Am-investment Middle Office Project Manager Resume Examples & Samples

Well-rounded experience with managed accounts and investment products
Strong knowledge of Investment Products including Equities, Fixed Income and Derivative securities and their markets
Understanding of the complex regulatory environment surrounding the Investments business
Understanding of flow of account opening to trading to post trade monitoring a
Develop agendas and presentation decks for status meetings
FINRA Series 7 or 99 licensing required within 4 months of hiring

176

Investment Product Management Associate Resume Examples & Samples

Analyze product research data to provide meaningful insights and produce the written portion of research reports
Work with Asset Management business partners to provide competitive analyses for sales calls, client visits and talking points
Contribute to the overall success of the Asset Management and business partners by providing ongoing analytical support
Approximately 2-5 five years of financial industry experience
Strong knowledge of Excel, Word, PowerPoint
Strong analytical skills and finance knowledge with ability to create models, draw conclusions and communicate findings
Advanced degree or CFA designation
Ability to work in a team environment
Strong results orientation and ability to work in a performance-based environment

177

Investment Lending Support Officer Resume Examples & Samples

Level of credit qualification-Credit qualified without personal limits
Solid experience with the Bank’s MECH, CCAPS and NCCS systems including processing of financing products and related documents
Solid understanding and experience with the Bank’s Customer Connect/Optimizer systems

178

Manager, Alternative Investment Funds Resume Examples & Samples

Preparation and oversight of monthly / quarterly management accounts
Preparation and oversight of annual financial statements in accordance with UK GAAP / US GAAP / IFRS
Answering / investigating client queries
Liaison with intermediaries e.g. lawyers / accountants
Dealing with year end audits and auditor queries
Maintaining and developing client relationships
Management of key deliverables in accordance with SLA’s or equivalent
Ensuring compliance with client documentation and RBC processes and procedures
Ensuring the highest standards of client service and delivery, efficiently and effectively, reducing risk and increasing profitability
Assisting with completing the take-on process for new clients, liaising with internal legal, risk and compliance teams as necessary
Assisting with the internal requirements regarding customer due diligence, AML and regulatory requirements
Attending client meetings and assisting with the preparation of proposal documents / attending pitches for new work
Reviewing and providing comments on draft offer documents, agreements and other documents for new clients
Developing and implementing procedures as required, including continually seeking to improve and update procedures
Keep up to date with technical developments and attending Fund industry conferences as required
Professionally qualified, ideally ACA, ACCA or equivalent with minimum 5 years PQE
Experience of working in a managerial role
Completer / finisher – ability to see tasks through to the end
Ability to interpret and understand legal documents (limited partnership agreements etc)
Good presentation skills

179

Regional Manager Banc West Investment Services Resume Examples & Samples

Oversees the overall sales and compliance activities for assigned sales territory. Ensures that their Regional goals and BWIS initiatives are achieved
Manages employees directly (new hires, terminations, training, performance appraisals, corrective actions, etc.). Ensures adequate territory coverage for sales and service if staffing level fluctuates
Motivates, Recruits, develops, and coaches Financial Advisors and Sales Assistants. Coaches Financial Advisors regarding working their book of business and initiating referrals. Mentors Sales Assistants interested in becoming Financial Advisor
Conducts sales meetings and small group meetings as necessary
Partners with the Private Client Service Market Leaders and Bank Regional’s to discuss business opportunities in an effort to provide a holistic approach to clients and maximize cross selling opportunities and capitalize on retirement opportunities
Grow the managed money and life insurance business in an appropriate manner
Manage to a consistent sales process to ensure a highly positive client experience and net advocacy results
Ten or more years of sales experience in the financial services industry
Budgetary and financial reporting expertise
Analytical and research skills
Creative sales ideas
Planning and organizational skills

180

Investment Financial Services Writer Resume Examples & Samples

Streamline portfolio commentary process and improve quality of commentaries by gaining a solid understanding of commentary cycles and the flow of deliverables between parties
Drive thought leadership by understanding key client needs/business objectives and make strategic recommendations for client materials
Develop more complex or high-profile commentary deliverables (e.g., value-add topic/discussion pieces, newsletters and special projects)
Excellent storytelling skills with the ability to present complex concepts in a clear, engaging and consumable fashion to audiences, both written and graphically, ranging in knowledge and sophistication
Bachelor’s degree, preferably with a major in English, communications, economics or similar discipline

181

Trust Investment & Registered Investment Adviser Senior Counsel Resume Examples & Samples

Qualified candidates must have a J.D. degree and ten or more years of experience in trust law and/or advising registered investment advisers
In-depth knowledge of trust law and/or the Investment Advisers Act of 1940 and FINRA rules is required
Candidates with experience advising the investment management businesses affiliated with banks and/or large financial institutions will be preferred
Excellent analytical skills as well as excellent communication (both written and oral) and interpersonal skills are required

182

Alternative Investment & Tax Operations Associate Wealth Management Resume Examples & Samples

Process Client Subscriptions into funds
Process Client Redemptions out of funds
Position transfers into/out of firm as well as across accounts
Apply distribution monies received from the funds to the client accounts
Reconcile all client positions & valuations
Reconcile client distribution and redemption proceeds
Prepare month end reports for accounting
Prepare Key-Risk- Indicator metrics

183

Investment Bank Services Management Team Resume Examples & Samples

Project Unity
Service Company Project
BC&E Business Process Review & Re-engineering Project (BC&E: Brokerage, Clearing, and Exchange)
Business Engagement / Governance
Enhanced Measurement of Financial & Business Performance and Control (reporting, metrics, and KPIs)
Development of Service Level Agreements
Financial Planning & Reporting
Business Support such as coordination of organizational moves, onboarding, offboarding, business continuity planning, and communications
IB Services Networking stream lead - support for newsletter, communications, team events, etc

184

Investment Bank Change Program Resume Examples & Samples

As part of the G20 commitment to implement derivatives reform to improve transparency and reduce risks associated with OTC derivatives market, a number of APAC regulators have mandated central counterparty clearing (CCP), trade reporting (TR) and Electronic-trading for eligible derivatives contracts
The APAC DRR program is established to define and implement the required OTC derivatives infrastructure that will support these emerging APAC regulatory requirements, including
Assessment of the impact on CS businesses
Definition of CS’s derivatives business model and required infrastructure changes
Implementation of required changes to support desired business capabilities and regulatory requirements
1) Program / Project Management
Scope the project
Identify the impact of the project on the business lines and support departments
Identify the key stakeholders, define the project governance model and roles and responsibilities
Liaise with the various business units and support departments to determine priorities and agree solutions
Develop the project strategy and project plan
Allocate resources & drive the completion of tasks
Ensure communication within the project and to external stakeholders
Deliver project objectives and ensuring project benefits are realised
2) Industrial Participation
Represent Credit Suisse in participating industrial forums (i.e. ISDA, Markitwire and local regulatory forums) to monitor DRR pipeline and requirements
Cascade and engage internal stakeholders (e.g. Legal & Compliance, Front Office, Country Management) to update on the industry / regulatory developments
Establish and leverage internal & external network to clarify regulatory requirements / timeline and lobby for changes (where required)
Create a good understanding and general awareness of DRR in terms of its impacts across jurisdictions / asset classes and businesses
PMO Certification or PRINCE2 Practitioner or other Project Management Certifications
2) Project Experience
At least 8-10 years of change and project / program management experience with a leading consulting firm within financial services or an international Investment Bank
Proven track record as a PM in driving and implementing complex front-to-back initiatives involving systems, processes and people changes
Ability to multi-task, prioritize and adapt quickly to shifting priorities and demands independently
Experience in dealing with senior management
Experience in achieving results in a project context using resources that do not report directly to you (e.g. from clients, other departments, external suppliers)
Solid knowledge of IT: managing IT-oriented projects, user’s requirements / testing. Must have interfaced with technology groups and IT implementations
Experience of outsourcing and vendor engagement is desirable
Formal project management skills
Good knowledge of the investment banking industry (in terms of products, front-to-back processes). Ability to apply broad knowledge, sound judgement and seasoned experience when addressing complex issues to create effective strategies that balance short-term requirements with a long-range perspective and business plans
Knowledge and experience in delivering similar regulatory projects (e.g. Dodd-Frank Act, European Market Infrastructure Regulation), and familiarity with APAC OTC Trade Reporting requirements are desirable
Ability to establish effective plans and processes that translate broad strategies into specific objectives, metrics and action plans
Good capability with MS Office tools (e.g. MS Project, Visio, Powerpoint, Excel, Sharepoint)
3) Soft Skillls
Excellent relationship and interpersonal skills - ability to influence, engage and manage diverse group of stakeholders at all levels (in particularly at senior levels)
Ability to build harmonius, effective and long-lasting relationships with cross-functional and cross-geograpohical partners in resolving conflicts and building consensus
Strong communications skills (verbal and written) at all levels - clear and concise

185

Investment Bank Equities Cfo Group Resume Examples & Samples

Analyze and interpret financial results for the global Equities business, including both direct (compensation and non-compensation) and allocations (Shared Services, IB Allocations) on a monthly basis; includes in-depth reporting globally and by business to understand comparisons to budget/target and the key trends in expenses
Forecasting of revenue, expenses, balance sheet and RWA and impact to ROE and Economic Contribution
Individual would also be responsible for understanding, monitoring and reporting of divisional cost drivers and balance sheet impact to categories such as UK Bank Levy
Collaborate with product COOs to initiate and execute cost saving initiatives/reviews across expense categories, as well as balance sheet mitigation activities
Assess and manage cost allocations to Equities from internal Shared Services (ShS) groups and other divisions
Oversee Equities headcount management, including collaborating with HR on the global hiring plan with enhanced analysis that shows the impact on compensation levels under various scenarios (e.g. high attrition, turnover statistics, title mix, etc.)
Perform and manage the headcount and compensation modeling process
Develop various management presentations
Manage business benchmark projects and competitor analysis, including liaising with Investor Relations, on monthly, quarterly, and annual performance reports
The Expense CFO role also manages the Budgeting, Forecasting and Strategic Planning process for global Equities expenses, which includes ensuring coordination with the Global Equity Finance team and product COOs
Partner with the various COOs throughout Equities globally to ensure an overall focus on efficiency and highlight details around the spend

186

Investment Bank Chief Finance Officer Resume Examples & Samples

Deliver time critical and ad hoc requests or special projects as defined by CEO/COO management offices, IB CFO or IB EC as well as preparing briefing notes/materials to support IB CFO
Develop messaging for key presentations on IB Financial Performance utilising reporting prepared by RAS to aid IB EC and GCEO meetings. Includes working with IB CEO Management Office on presentations which support offsites, townhalls and meetings with regulators
Adhoc analysis of IB performance holistically including core financial data, risk, competitor positioning, client, market and regulatory developments
Support IB Finance Business Partner in planning, forecasting and day to day business support activities of IB Global Research
Provide key support on IB Cost Management and Governance and review and monitoring of IB realigned headcount

187

Actuarial, Investment & Pensions Resume Examples & Samples

The role with involve the preparation of numerical and written advice, as well as liaising directly with clients
Manage client projects within agreed scope and budget with minimal supervision from senior management
Identify client project teams and delegate work effectively
Provide support to the senior management team with marketing initiatives
Build effective relationships within the EY network and help identify additional opportunities
Help develop team members through knowledge sharing, feedback and training
Maintain our very high professional standards
Consultancy experience
Understanding of actuarial valuations, analysis of surplus and other regular scheme related calculations and factors
Understanding of accounting standards and preparation of accounting figures
Experience in preparing actuarial advice for both corporates and trustee entities
Good commercial awareness
Proven track record of delivering high quality work in appropriate timescales
Strong project management skills
Strong communication skills
Strong client handling and relationship building skills

188

Investment Bank Change Project Manager Resume Examples & Samples

As part of the G20 commitment to implement derivatives reform to improve transparency and reduce risks associated with OTC derivatives market, a number of APAC regulators have mandated central counterparty clearing (CCP), trade reporting (TR) and Electronic-trading for eligible derivatives contracts
The APAC DRR program is established to define and implement the required OTC derivatives infrastructure that will support these emerging APAC regulatory requirements, including
2) Business Analysis
3) Industrial Participation
PMO Certification or PRINCE2 Practitioner or other Project Management Certifications is desirable
2) Project Experience
At least 8-10 years of change and project management / business analysis experience with a leading consulting firm within financial services or an international Investment Bank
Proven track record as a PM / BA in implementing change initiatives involving systems, processes and/or people changes; preferably in a front-to-back capacity
Ability to multi-task, prioritize and adapt quickly to shifting priorities and demands independently; whilst appreciating own personal limitations, and know when to escalate or seek guidance (where required)
Experience in formulating business requirements (BRD), project plan, test plan, impact / risk assessment, post-implementaion review etc
Good knowledge of IT: managing IT-oriented projects, user requirements / testing. Must have interfaced with technology groups and IT implementations
Experience of outsourcing and vendor engagement is desirable
Good understanding of project management methodology
Good knowledge of the investment banking industry (in terms of products, front-to-back processes)
Knowledge and experience in delivering similar regulatory projects (e.g. Dodd-Frank Act, European Market Infrastructure Regulation), and familiarity with APAC OTC Trade Reporting requirements are desirable
Ability to apply sound business knowledge and logical thinking to quickly uncover the central issue when analyzing a problem; take ownership for issues and driving them to closure
Good capability with MS Office tools (e.g. MS Project, Visio, Powerpoint, Excel, Sharepoint)
3) Soft Skillls
Good relationship and interpersonal skills - ability to engage and manage diverse group of stakeholders at all levels
Ability to build harmonius, effective and long-lasting relationships with cross-functional and cross-geograpohical partners in resolving conflicts and building consensus
Strong communications skills (verbal and written) at all levels - clear and concise
Excellent organisational skills

189

Investment Performance Analyst Resume Examples & Samples

Analyze and update daily transactions for performance impact
Load daily files into performance measurement system and execute various processes
Research various variance/warning reports to determine cause
Maintain and create reporting groups
Collaborate with Client Advisors and multiple departments for various daily/monthly tasks
Provide support in special projects
Assist in improving/developing performance measurement operations
Maintain, update and improve departmental processes
Bachelor’s degree (BA or BS) required, Finance or Math preferred
Excellent computer skills and strong proficiency in Microsoft Office
Clear communicator with strong verbal and written communications skills
Strong organizational skills with the ability to multi task effectively
Highly motivated, goal-oriented and self-starter
Capable of working independently and as part of team
Experienced work ethic that demonstrates quality, accuracy, and accountability consistently
Experience with performance measurement and banking processes/systems preferred

190

Investment Bank Strategy & Ventures Financial Regulations Strategy Resume Examples & Samples

Identify, evaluate and understand the implications of regulatory reform, capital standards and other policy changes
Evaluate potential mitigation efforts
Identify business opportunities across the IB platform in connection with the FinReg landscape
Manage various types of projects related to the new FinReg framework, including strategic reviews for businesses and regions and assessment of new business opportunities for the IB
Demonstrate an understanding of the IB business model across Equities, Fixed Income and Investment Banking (IBD)
Keep informed of regulatory reforms and general industry trends
Provide bespoke research, performance analytics, and competitive intelligence
Assist as needed on ad hoc assignments

191

Investment Expert Advice Center Customer Service Officer Resume Examples & Samples

Deliver an efficient and effective client experience as outlined in the Client Experience Map Conversation Guide and as monitored through call listening, trailer calls and escalations
Applies appropriate, processes & procedures to accurately respond to client inquiries
Accurately completes Peregrine records entering appropriate SCIM’s and notes meeting established target
Achieves Other Not Ready target
Ensures skills/knowledge/accreditations are up-to-date and meet position requirements
Takes accountability for personal development, executing planned activities in partnership with your manager

192

Investment Bank Change Project Manager Resume Examples & Samples

Develop the project strategy and project plan
Prepare all project artifacts including but not limited to Business Requirements Documents (BRD) and test plans
3) Pipeline Management
Manage the APAC FID Book of Work with key stakeholders to agree business priorities and ensure appropriate resourcing are allocated to support these initiatives
Prepare and consolidate FID project status reports and associated management information (e.g. achievements, plans, key risks and issues, project financials)
Oversee delivery of FID projects undertaken by IB Change team to ensure they conform to departmental standards
PMO Certification or PRINCE2 Practitioner or other Project Management Certifications
At least 8-10 years of change / project management and business analysis experience with a leading consulting firm within financial services or an international Investment Bank
Proven track record in driving and implementing complex front-to-back initiatives (involving new products, systems / infrastructure, processes and/or people changes), preferably with a FID focus
Ability to multi-task, prioritize and adapt quickly to shifting priorities and demands independently
Experience in managing a portfolio of projects and formulating business requirements (BRD), project plan, test plan, impact / risk assessment, post-implementaion review etc
Experience in dealing with senior management
Good knowledge of the investment banking industry (in terms of products, front-to-back processes). Ability to apply broad knowledge, sound judgement and seasoned experience when addressing complex issues to create effective strategies that balance short-term requirements with a long-range perspective and business plans
Ability to establish effective plans and processes that translate broad strategies into specific objectives, metrics and action plans
Excellent interpersonal skills - ability to influence, engage and manage diverse (cross-functional / geographical) group of stakeholders at all levels (in particularly at senior levels)
Strong communications skills (verbal and written) at all levels

193

Head of Investment Bank IT Application Delivery Resume Examples & Samples

Partner with senior business leaders to define and deliver world class application delivery solutions for the Investment Bank globally which generate real business value and support UBS’s growth agenda
Work with the Group Head of Application Delivery to define core technology standards and ensure adherence within the group governance framework
Lead IBIT aligned delivery teams (circa 2,000 staff) and provide clear direction to employees as to their professional responsibilities, delivery standards and expectations for their role
Minimize total cost of ownership while maintaining a maximum value proposition in regards to functional flexibility, reliability and security
Engage with UBS’s IT suppliers (as well as with potentially future creative suppliers) to identify innovative solutions relevant to UBS’s business needs
Ensure reliability and manageability of application lifecycle with a focus on technical excellence and up-front consideration of non-functional requirements including capacity, disaster recovery and end of life
Anticipate long term business requirements, closely align roadmaps and ensure alignment of solutions provided by Group Technology
Make operational risk management practice and principles a critical part of day-to-day execution
Take a leading role as a member of the IT senior executive team
Minimum of 10 years in a large-scale high-transaction rate information systems environment, with at least 5 years management experience in a similar senior global IT leadership role
Proven track-record in the implementation of pragmatic and workable solutions that transform business solutions
Demonstrated experience successfully facilitating the IT systems planning process for a large, complex business, resulting in a comprehensive, enterprise wide working IT strategy
Proven track record of developing and mentoring strong management teams and leading through transformation programs
Deep domain experience in financial services technology and architecture and a strong understanding of the competitive landscape
Able to provide thought leadership to complex financial services businesses
Proven expertise in designing a competitive strategy with timely priorities and in communicating the strategy convincingly to senior management
A track record of driving change through influence, building relationships, and exhibiting clear and transparent communication skills
An earned reputation as a strong leader and demonstrable “A” class talent manager who is known to recruit, lead, motivate, develop and manage the senior talent bench

194

Investment Bank Application Developer Resume Examples & Samples

10+ year experience with core Java development of real time multi processing/multi threading systems
Hands on experience in design, development & Implementation of object orientated programming
Knowledgeable and experienced with J2EE,Spring, JMS
Experienced with Maven, Subversion, GIT, Jenkins, JUnit, Mockito, JIRA
College degree in CS or Engineering Preferred
Familiar with JDBC and RDMS such as Oracle
Experience with WebLogic and Tomcat application server
Experience with distributed caching products such as Gemfire
Experience with Linux/Unix scripting

195

Investment Bank Strategy & Ventures Ccar Revenue Challenge & Projections Resume Examples & Samples

Be the primary interface for the IB Strategy team with the businesses in the IB in the development of CCAR revenue challenge and projections development
Further develop CS’ regression based revenue challenge model, including incorporation of multiple Credit Suisse and Federal Reserve scenarios, model testing, validation and documentation
Assess, analyze and critique both business division projections and compare against revenue challenge results across multiple scenarios
Demonstrate an understanding of the IB business model across Equities, Fixed Income and Investment Banking Division (IBD)

196

Investment RFP Writer Resume Examples & Samples

Timely completion of Request for Proposals and Due Diligence questionnaires
Assist with the allocation of new business requests across the team and help review all documents prior to submission
Sourcing, monitoring and updating of quantitative/qualitative information
Liaison with investment personnel, client relationship/business development staff and investment consultants
Database work (e.g. PMAPS, various key consultant databases)

197

Wealth Investment Mangement Unit Trust Controller Resume Examples & Samples

Daily Product Control functions for our Wealth Management Investment Product and Service Division
Compilation of daily P&L for Unit Trust trading desks
There is also heavy interaction with various other groups such as CFO Group and a variety of audit teams
Bachelor’s degree in Business, Finance, Economics, or Accounting
Minimum 2 years of fixed income product control experience

198

Cib-hfs Investment Operation Services Resume Examples & Samples

Ensure all scheduled operational deliverables are completed by agreed deadlines with the client and/or internal JPMorgan divisions
Reconciliation of trades, investment positions and cash balances to external third parties (banks, prime brokers, counterparties and custodians)
Perform trade break resolution with prime brokers and counterparties
Trade support for listed and OTC products
Oversee PB Margin, Collateral Management and OTC Settlements functions
Review OTC long form confirmation and/or confirmations via electronic platforms
Management of security life cycle event processing
Ensure that all controls and procedures outlined in the procedures manual and general company policies are complied with across all groups
Create, maintain and update procedures for client specific deliverables
Work closely with the on-boarding team and client through the client implementation process
On-going review of daily controls and communication of any new training or procedural changes to the team
Act as client relationship manager and service as escalation contact
Ensure appropriate allocation of work across teams
Conduct training and coaching new team members
Streamline operational processes to reduce risk and improve efficiencies
Work closely with technology to perform user acceptance testing, for upgrades, and enhancements
Management reporting for MIS and ad hoc request
Act as project lead on departmental initiatives
Responsible for monthly operations sign-off (including finalizing reconciliations and assessing materiality)

199

Bancwest Investment Center Operations Supervisor Resume Examples & Samples

Supervises Operations personnel in the day-to-day functions of one of more of the following: trading, sponsor paperwork, cashiering, retirement plans, insurance products, annuity products, mutual fund products and individual equity & bond areas
Administers all operations functions within the organization. Ensures that all policies and procedures are aligned with corporate goals and initiatives and comply with regulatory guidelines
Recommends changes in the coordination of budgets, resources and deadlines to ensure timely completion for projects
Evaluates work flow procedures and implements changes to improve efficiencies. Ensures that all policies and procedures set by BWIS are being followed
Analyzes and reviews internal and industry changes and recommends changes that may impact business needs
May act in place of Operations Manager in his/her absence
Oversees the development of staff to ensure utilization in other areas of the organization. Makes recommendations to Operations Management concerning hiring, performance management, reviews, promotions, salary decisions and terminations
LI-AS1

200

Business Risk Manager Investment Products & Services Resume Examples & Samples

Identify, analyze and assess operational risks and propose risk management and remediation measures to ensure that residual risk exposures do not exceed risk appetite
Monitor the design and operating effectiveness of the risk management and control framework for completeness and adequacy and propose enhancements where necessary
Assess compliance with the regulatory and policy environment and propose compliant solutions to the business
Lead the analysis and remediation of selected risk events
Support risk management related projects and initiatives across IPS
Lead dedicated reviews to identify risks and to define mitigation measures
Support the business on risk related inquiries from auditors, regulators or other stakeholders
Support senior management in their risk management and governance tasks
Bachelor/Master degree in Business Administration, Mathematics, Economics, Banking, Law, Compliance or equivalent (e.g. AZEK, CFA, CPA, FRM, CAIA)
Minimum of 3 to 5 years experience with investment products in wealth management, investment banking or asset management
In depth knowledge of investment management, advisory or trading execution processes including in the context of cross-border, operational, suitability, legal, tax, and credit risk
Excellent written and oral communication skills in English; German and/or French are a plus
Excellent IT user skills

201

Private Client Associate Ph&n Investment Counsel Resume Examples & Samples

Canadian Securities Course
A related financial designation such as Canadian Investment Management (CIM), Canadian Financial Planner (CFP), or Chartered Financial Analyst (CFA). Applicants in the midst of completing a suitable designation will be considered
Minimum of two years of experience in a similar role preferred
Ability to work in a dynamic, demanding, high-pressure environment
Detail oriented and a high level of accuracy

202

Branch Manager / Investment Fund Specialist Resume Examples & Samples

This opportunity is available in Calgary or Toronto**
Canadian Securities Course (CSC) or Canadian Investment Funds Course (CIFC)
Branch Manager qualification with the Canadian Securities Institute or The Investment Funds Institute of Canada (IFIC) - Required Immediately
Registered to sell mutual funds for over two years, preferably in Retail Banking
Excellent Microsoft Office skills; particularly MS Excel

203

Junior Investment Analyst Resume Examples & Samples

To assess and make recommendations on local and regional corporate and sovereign bond issues for our funds under management
To prepare equity valuations for local and regional companies as well as provide support in preparing equity valuations of selected foreign companies
To complete the proxies prior to the annual general meetings (AGMs) of listed local and regional companies and to attend the said AGMs as part of the equity valuation process
To provide capital market and economic information to inform the management committees of our funds under management with regard to the performance of their portfolios
Collect and update economic data and make informed recommendations for approved countries in the assigned sovereign region
Prepare quarterly reviews of the financial performance of foreign corporate and preferred stock issuers (e.g. credit ratings and outlooks, profitability, liquidity, leverage and recent bond issues) in order to make informed investment decisions
Review the annual financial performance of local corporate issuers and counterparties to monitor risk exposures and compliance with financial covenants
To review the performance and risk exposures of property, fixed income and equity mutual funds
On a monthly basis, provide the market values of our proprietary funds, all pension plans, savings plans and ESOPs under our administration
To update the investments database with the share prices of listed local and regional companies
Delivers the highest level of quality customer service to all by responding in a timely and courteous manner to requests from internal and external contacts
Ensures that ad hoc requests for information are handled courteously and timely
Provide assistance, as need be, to other Department Heads
Associate or Bachelor Degree in Business Administration with a major in Finance
At least one (1) year experience in a financial institution or in a position engaged in investment analysis would be an asset
Pursuing Level 1 CFA would be an asset
Working knowledge of relevant Regulations including: The Insurance Act 1980; The Income Tax Act; The Financial Institutions Act 1993 and The Securities Industry Act 1995
Familiar with local financial markets including equity, capital and money markets, and some knowledge of the international markets
Keen understanding of economic developments and their impact on investment performance and opportunities
Working knowledge of the mechanics of various investment instruments
Working knowledge of accounting methods and concepts

204

Co Op, Mortgage Investment Group Resume Examples & Samples

Develop analytical tools for use by trading desk
Develop supporting code when necessary
Identify and resolve trade, position and cash breaks between front and back office systems
Proficient with MS Office with particular focus on Excel
Advanced VBA skills
Detail-oriented with strong organizational skills
Self-driven and independent
Strong interest in financial markets with working knowledge of interest rate instruments

205

Investment Client Services Coordinator Resume Examples & Samples

Assist in preparing responses to ad-hoc requests involving investment performance reporting, audit verifications and various other requests from clients, custodial banks, third-party administrators, and investment consultants
Distribute various communications to clients, consultants and prospects via PREIs customer relationship management system
Assist with the production of client presentations and quarterly reports
Administer PREIs document management system; upload various documents, train new hires, and troubleshoot as needed
Participate in the client on-boarding process through Suitability, KYC, OFAC and FATCA checks
Assist with a variety of special projects and process improvement initiatives
Minimum of 1 year of work experience in a corporate environment required; professional services and/or business related experience is preferred
Ability to compose routine letters and emails
High level of proficiency with software programs such as Microsoft Word, Excel and PowerPoint
A high degree of professionalism and strong work ethic
Excellent writing and project management skills
Excellent multi-tasking capabilities
Strong initiative, good judgment, and attention to detail
Excellent partnering skills, must be a team player
Positive attitude approach to work
Discretion required in handling highly sensitive and confidential information
Flexibility to work overtime if necessary

206

Investment Solution Intern Resume Examples & Samples

Working with team members to update 2Q2015 quarterly materials including investment review templates and quarterly commentary
Currently pursuing a bachelor’s or master’s degree at an accredited college or university. Minimum 3.0/4 GPA
Strong Microsoft PowerPoint and Microsoft Excel skills
Knowledge of the investment industry
A Strong interest in learning more about the investment industry
Capable of working effectively with cross-functional teams

207

Investment Brokerage Trader Resume Examples & Samples

Receive and respond to telephone inquiries regarding general market activity and the specific price and activity for individual stocks, bonds, mutual funds, exchange traded funds (ETFs), options, CDs, ect
Receive, confirm and rapidly execute investment orders, calculate commissions, and report trade executions to clients and internal associates with a high level of accuracy
Act as a frontline problem solver by assisting clients with questions regarding trading, account information, market terminology, order inquiry, online trading, etc
To notify clients of executions on limit orders or any changes made to those orders due to market changes
Maintain an empathetic and helpful attitude with clients at all times, especially while handling difficult conversations
Make outbound service calls to notify clients of account status, incoming ACAT and DRS transfers, and securities and check deposits
Establish mutual fund periodic investment plans (PIPs) and systematic withdrawal plans (SWIPs) for clients
Work with new accounts to obtain missing account information and required legal documents for account opening
Monitor real-time online trades and trading exceptions entered by clients online. Use trading rules engines in conjunction with review/release queues
Exercise death put and survivor options for eligible securities. Communicate the death put requirements to clients and internal associates. Follow up to ensure proper payment to beneficiaries
Mail welcome letters to self-directed brokerage clients
Send fixed income maturity notices to Investment Counselors to generate revenue
Exercise employee stock options
Send weekly email notifications to the sales force for new issue and auction orders available for purchase
Work in conjunction with Compliance to mitigate trade related risks
Interact with clearing firm to resolve any issues associated with order entry and execution
Keep all books and records as required by Financial Industry Regulatory Authority (FINRA). Work with compliance to assure accuracy and thoroughness
Perform other tasks as assigned by management
2 years investment brokerage industry experience
FINRA Series 7 and 63 licenses
High level of mental alertness and the ability to work well in an environment where time pressures are constant
Ability to communicate effectively with clients, managers, and internal associates. Exceptional verbal and written communication skills
Ability to evaluate, assimilate and utilize detailed and complex written and verbal technical information
Understanding of complex order entry including fixed income and options trading
Four year college degree or equivalent education and related training
Ability to communicate effectively with clients, managers, and other employees. Exceptional telephone skills
Familiarity with Thomson One and/or Beta systems a plus

208

Legal Counsel Investment Products & Services Resume Examples & Samples

Proactively advise on legal and regulatory developments which are of relevant for the Investment Management and Advisory business in Switzerland (such as MiFID II, FIDLEG,PRIIPs etc.)
Provide legal advice on suitability and conduct of business related matters and support business areas by implementing measures
Plan and coordinate legal support for several business areas including the following
Assessments and documentation of regulatory developments focusing on the laws and regulations of the European Union and the EEA Member states
Advice on implementation measures based on new regulatory driven initiatives and projects, typically in a cross border context
Act as point of entry for regulatory matters and support business areas, implement the regulatory framework
Several years of practical experience in international banking or in an international law firm
Fluent in English, additional languages (especially German) are an asset

209

Investment Senior Associate Resume Examples & Samples

Advanced Degree in Mathematics, Financial Engineering, Economics, Business, Sciencebased, or related analytical field
1+ years of experience managing one or more direct reports is required
Ability to build and manage strong relationships while challenging and influencing people in a constructive manner
Proficiency in programming languages, such as C++, Matlab or Python is desired

210

Retail Investment Financial Advisor Resume Examples & Samples

Introduce customers to Citi Personal Wealth Management / CIFS
Executes brokerage, credit transactions and non-traditional actions to service accounts
Some sales experience dealing with an offshore target marke customer base (e.g. Retail/Affluent) preferable

211

Investment Due Diligence Analyst Resume Examples & Samples

Initiate research on the Trading managers universe and sourcing of prospective managers
Review all relevant hedge fund legal and marketing / investment materials
Prepare and conduct full onsite meetings/interviews/inspections with senior investment and risk management professionals at current and prospective Hedge Funds; travel overseas likely required
Arrange and conduct reference calls with key sources such as prime brokers, investors, professional relationships
Manage an investment Due Diligence process in collaboration with members of the Operational Due Diligence / Market Risk teams
Prepare meeting notes and write a comprehensive investment Due Diligence assessment report for review by senior management to be presented at internal Fund Review Committee
Perform further analysis on findings, benchmarking manager against peer group and relevant markets / strategies
Provide support to Portfolio Managers and Product Specialists for marketing / investor enquiries
Monitor current managers for ongoing developments at investment and structural level
LI-MR1*

212

Investment Guideline Associate Resume Examples & Samples

Coordinate and support the Compliance department in set up and monitoring of investment guidelines
Ensure mandated investment guidelines are translated into formats that can be coded into monitoring systems and accurately reflect trading restrictions for the particular client account
Support smaller projects as needed including the implementation of version enhancements

213

Investment AVP, Asset Management Resume Examples & Samples

Provide general asset management and direction for a diversified portfolio of properties. This includes frequent contact and direction with property managers, operating partners, leasing brokers and attorneys
Provide general management and direction through the development process. Evaluate potential development transactions in terms of overall deal strength as well as portfolio suitability. Review initial documentation for transactions -- interacting with partners, lenders, attorneys and PREIs Transactions team. Monitor the construction process and manage issues with partners, consultants and lenders
Review periodic internal reports prepared by analysts and respond to portfolio and corporate information requests
Oversee or assist in the budget process and preparation of the annual strategic plan for each property
Review periodic property reports and track operating performance. Prepare quarterly updates summarizing results
Provide assistance to the transaction team for both the acquisition and disposition of properties
Negotiate contracts with property management and leasing firms
Strong leasing skills and an understanding of the submarkets
Ability to analyze lease terms, prepare lease proposals and negotiate leases
Supervise, mentor, and train analysts
Prepare analyses of various investment decisions - leasing; financing; hold/sell
Review quarterly appraisals for factual accuracy and consistency with other similar properties
Bachelors degree required, emphasis in real estate preferred
Candidates must have at least 5-7 years of related real estate experience, preferably with some development, office and industrial asset management experience
Ability to work on various real estate investments (office, industrial, retail, etc.) owned directly or in a joint venture with partners
Understanding of basic real estate terms and concepts such as net leases, gross leases, contracts, rents, percentage rents, operating expenses, capital expenditures, recovery of expenses, property types
Understanding of basic finance concepts such as NOI returns, cash flow returns, internal rate of return, present value/discounted cash flow, amortization
Good knowledge of the Boston and Florida real estate markets is a plus
Awareness of portfolio goals and ability to develop and monitor specific plans for individual investments that contributes to these goals
Ability to use financial and valuation software including Word, Excel, Argus and Resolve
Ability to perform market research
Strong interpersonal/communication skills; ability to develop and ask questions
Capability of simultaneously handling multiple assignments
Ability to direct and monitor the activities of others both internally and externally on a systematic basis
Ability to negotiate acceptable terms with a third party
Understanding of transaction due diligence process

214

Customer Contact Agent, Lending & Investment Resume Examples & Samples

In-depth sales skills (i.e., able to proactively identify sales opportunities and apply relationship selling techniques)
Ability to provide articulate and professional customer service (oral and written) in both languages, English and French
Working knowledge of everyday banking products
Successful completion of all of Learning for Success (level 400 completed)
In-depth telephone, computer and multi-tasking skill

215

Rbc Global Asset Management Investment Products Advisor Group Resume Examples & Samples

Support Investment Products Advisors with market and fund data requests from RBC GAM wholesalers and Investment Counsellors
Create impactful charts and presentations to support Investment Products Advisors
Compile weekly product newsletters for RBC PH&N Investment Counsel and RBC GAM wholesalers and track readership statistics
Draft brief summaries of portfolio manager calls hosted by the Investment Products Advisory Group
Create and maintain monthly fund fact sheets/competitor reports
Source articles and content aligned with current market themes and fund sales opportunities
Disseminate conference call information, news releases and product information where appropriate
Provide product and market-related information to the communications team as needed
Assist with coordinating requests for conference calls and speaking engagements
Participate in activities that are meaningful to the communication of product information to our client groups

216

Associate Portfolio Manager Private Investment Counsel Resume Examples & Samples

Consistently provide our clients with expert guidance to help them achieve their overall wealth management goals in partnership with PCG colleagues
Demonstrate a consistent commitment to keep our clients well informed using a combination of face-to-face, telephone and email to achieve minimum quarterly contact with all clients
Develop investment strategies that are in line with the client’s goals and objectives
Consistently demonstrate that you have in depth knowledge of investing in the markets and that you are looking out for our client’s best interests
Assist Portfolio Managers where required with manual performance reporting and analysis (beyond FMC pages) if and when required
Assist the Portfolio Managers where required in the preparation of presentations, marketing and other materials for client, prospect and partner meetings when required
Follow-up to ensure model instructions and trades submitted by the PM are executed correctly and on a timely basis to help avoid the potential for losses
Maintain an accurate and current database of relevant client information (Janna), including diarized transfer requests, statement issues and special projects (e.g. year-end valuations, tax and cash requests)
Act as a secondary contact to the Portfolio Managers where required for client relationships
Efficiently manage client experience through strong communication and interpersonal skills
Complete familiarity and adherence to privacy and confidentiality requirements and the need to handle situations with tact and discretion

217

HR Business Partner Investment Bank Resume Examples & Samples

Together with the Senior HRBP, provide end-to-end HR solution delivery to the in-scope client groups, through understanding business needs and proactively recommending HR solutions; represent HR at the business table, manage relationships with leading business decision-makers across the client portfolio, and advise on all elements of HR / human capital management; including shaping and delivering on the people strategies for the relevant client groups
Provide counsel to business clients at management team level on succession planning, leadership development, talent management, diversity, strategic hiring, engagement, etc.; manage the mid-year and year-end performance and compensation cycles in partnership with the Reward Center of Expertise and the leadership of the relevant client groups
Address cultural and complex organizational problems in partnership with business leaders. Provide counsel on issues related to senior individuals. Manage / advise on complex employee relations and legal cases; contribute to the achievement of financial results, secure cost and efficiency savings and manage associated risks for the relevant business areas
Interface with the HR Service Delivery and HR Centers of Expertise to ensure delivery of HR solutions; define requirements and confirm suitability to shape HR strategy, programs, processes and services to fulfil business needs; monitor effectiveness of existing HR programs and services for the business division, engage with HR Service Delivery on issues, and confirm adequacy of resolution; review and determine policy exceptions in conjunction with policy makers
Problem analysis: Identifies and examines problems in order to understand them, hence generates options and recommends solutions which are logical, reasonable and realistic. Confident at using and analysing data to reach conclusions and inform decision-making
Judgement and decision-making: Selects and uses relevant information to make sound and balanced judgments. Evaluates the risks of alternative options and makes confident decisions in the face of uncertainty or incomplete knowledge
Communication and impact: Conveys information clearly, accurately and succinctly and adjusts to the audience’s needs and requirements. Has credibility and impact; uses a range of effective interpersonal skills to persuade others to adopt a particular position and/or take action
Client focus: Builds and sustains long-term relationships with internal and/or external clients based on mutual understanding, trust and respect. Focuses on identifying and meeting client needs in the most effective way

218

Investment Bank Change Project Manager Resume Examples & Samples

At least 4-6 years of change / project management and business analysis experience with a leading consulting firm within financial services or an international Investment Bank
Proven track record in driving and implementing complex front-to-back initiatives (involving new products, systems / infrastructure, processes and/or people changes), preferably with an Equity focus
Ability to multi-task, prioritize and adapt quickly to shifting priorities and demands independently; whilst appreciating own personal limitations, and know when to escalate or seek guidance (when required)
Good interpersonal skills - ability to influence, engage and manage diverse (cross-functional / geographical) group of stakeholders at all levels

219

Alternative Investment Partners Resume Examples & Samples

High-calibre graduate with a degree (or equivalent) from a top institution
Relevant work experience (prior experience in management consulting, investment banking, private equity, or equity research preferred)
Ability to communicate effectively in both written and verbal English; an additional language is an advantage
Working knowledge of Excel
High level of interest in investing and in the global macroeconomic environment
An individual who has strong analytical and quantitative capabilities, who is intellectually curious, insightful, adaptable, detail oriented and, a team player, with a strong work ethic and a positive attitude
An individual with the ability to meet challenging deadlines while maintaining a high degree of quality and accuracy of work product

220

People Development Coordinator Investment Trainee Position Resume Examples & Samples

Excellent written and verbal communication skills are essential; must understand the importance of clear communication and be able to interact professionally with all organizational levels
Excellent self-proofing skills to assure accuracy and high-quality deliverables
Has a detailed orientation and can anticipate necessary tasks, identify program /project risks and develop work plans/strategies to address each
Highly skilled in all Microsoft Office® products (Word®, Excel®, PowerPoint®, Outlook®, SharePoint®) with the ability to create professional presentations, documents and graphs; intermediate-level Excel skills (including experience using pivot tables, charts and VLOOKUPs)

221

Investment Trust Accountant Resume Examples & Samples

Prepare schedules and information in relation to Investment Trust’s board meetings ensuring timely and accurate delivery to agreed timetables and SLA standards
Prepare / review ad-hoc reporting and calculation requirements in support of Client fund requirements in accordance with SLA standards
Be aware of the risks of team operations and deliverables and assist in their management ensuring required controls maintained and compliance with procedures
Where appropriate or required deputise for Senior Investment Trust accountants and provide cover and support for Pricing Accountants and for other Investment Trust teams
Other project work and ad-hoc tasks as required
Knowledge of the securities industry with experience in an FCA regulated business [preferable]
Experience of fund accounting environment including coverage of pricing, statutory and other reporting [preferable]
Experience of Taxation requirements for Investment Trust or equivalent vehicles [preferable]
Accounting qualification (part of fully qualified) or qualified by experience

222

Finance Manager, Investment Group Resume Examples & Samples

Reports to the Finance Director, this role will manage a finance team and oversee the overall accounting and finance operations for the group
Provide analysis and reporting regarding financial performance to senior management at the group level
Ensure smooth functioning of the day to day operations of Finance team
Monthly, quarterly consolidated statement and managerial report
Accounting control systems and ensure the compliance with company policies and accounting standards

223

Asset Management Private Bank Latin Investment Team Lead HNW Resume Examples & Samples

Conduct investment reviews with clients to validate the clients' current investment objectives and prepare recommendations of appropriate investment products
Develop investment policy statements and advise on asset allocation
Closes sales of complex investment products
Focus on qualified purchaser clients and act as primary resource for investment communication
Build excellent working relationships with internal clients
Support coordination of sales effort with Capital Advisors, Fiduciary Administrators and Wealth Advisors

224

Investment Retirement Planning Associate Pei Resume Examples & Samples

Proactively calling clients and booking appointments for the Investment Retirement Planners you are supporting
Maximizing opportunities to effectively identify and opportunity spot client needs, make referrals, expand profitable client relationships and track and review progress against their teams annual sales plan
Increase sales enablement for the Planner by preparing for client meetings (Getting Ready) and supporting fulfilment of the credit, investments and everyday banking solutions
Exercise due diligence in following all policies and procedures and identity/correct areas of operational risk
LI - SH 1

225

Multi Asset Group Investment Solutions Resume Examples & Samples

A minimum of 2-3 years relevant work experience
Strong quantitative and analytical skills
Ability to work with multiple functional groups in a cohesive manner
Matlab and C ++ proficient
Undergraduate degree required
Applicable licenses: 7 and 63

226

Cib-investment Data Ops Manager Resume Examples & Samples

Review and monitoring of Foreign Exchange information on an Intra-day basis
Pricing Vendor management across globe
Manage daily production to ensure the timely delivery of validated asset prices
Monitor key tasks closely and ensure that they are performed on time. e.g. stale price report, monthly tasks
Training, coaching and development of staff
Identify training needs and appraise senior team members
Constant review of existing process and procedures to identify the area of weakness and enhancements to increase the efficiency and controls
Interaction with service groups, clients, IT dept’s, business support, pricing vendors
Participate in client service review meetings from a pricing perspective
Involvement in local and global projects as appropriate
Ensure all risk factors and potential issues are managed and communicated/escalated to CPU Management
Review and sign-off of production at the end of each day
In depth knowledge of financial instruments
In depth understanding of procedures and operational background
Good understanding of other related operations i.e. fund administration, custody, financial reporting, performance measurement and shareholder service
Familiarity with inherent risks and controls
Maintenance and management of MIS
Close interaction with team leaders and peers through to pricing group manager
Requirement to internally escalate issues promptly. e.g. delivery, quality, service, relationship, staff issues
SME contribution to ongoing change with the department
Participate in the recruitment process where appropriate
In depth understanding of asset pricing processes and related technologies (WINS, Cosmic etc.)
In depth understanding of various pricing vendors e.g. Bloomberg, Reuters, FTID product, Telekurs,etc
Detailed knowledge of the operation of financial markets with specific emphasis on the characteristics of all investment instruments types, securities and assets from a Pricing perspective
Working knowledge of fund accounting operations
Ability to work under pressure and in line with short delivery deadlines, while maintaining good relationships with staff, clients and other business areas
Knowledge of MS Excel and Access is a strong requirement
Must be able to work to the standard set out in the local Standard Operating Procedures and J.P. Morgan Corporate Policies
GPO Manila primarily covers the hours of 06:00 to 01:00, Mondays-Saturdays so the role holder will be required to operate flexible working hours to cover early starts and/or late finishes as demanded by the business

227

Senior Compliance Officer Investment Counsel Resume Examples & Samples

Bachelor's degree required, JD preferred
Minimum 3 years experience in investment advisory industry, legal and/or compliance role, 5 plus years preferred
Must be a proactive critical thinker who is willing and able to take responsibility and get things done. Good judgment, intelligence and confidence are critical
Must have the ability to distinguish between right and wrong and the courage to question, escalate and/or stop questionable activity. Honesty is very important
Must be motivated and able to work closely and productively with L&C colleagues, business personnel, regulators, and others

228

Investorline Investment Centre Team Lead Resume Examples & Samples

College/University degree
Registered Representative with the Investment Industry Regulatory Organization of Canada (IIROC)
In-depth knowledge of investment products, markets and sales strategies
In-depth knowledge of Bank products, services, organization and Banking Group interrelationships
Minimum 5 years financial services industry and investment product sales experience
Online brokerage experience an asset
Familiarity with retail investment products and distribution channels within the marketplace
Well developed relationship management, interpersonal and communication skills
Strong client service orientation and proven sales ability
Strong presentation and facilitation skills
Confidence in approaching clients in “cold-contact” situations
Experienced in coaching and providing feedback, Management experience an asset
Command (fluency) of foreign language (Mandarin/Cantonese/Taiwanese) definite asset

229

Investment Service Representative Resume Examples & Samples

Ability to work within specific performance metrics for call handling and client availability
Conduct Practices Handbook, within 6 months upon hire
Derivatives Fundamentals Course, and the Options Licensing Course completed within 6 months to a year upon hire

230

Head of Corporate Cash Investment & Government Entities Businesses Resume Examples & Samples

Bachelors degree required; MBA or other degree or designation preferred
10 years of experience in working with larger institutional clients, preferably in sales and distribution of Corporate Liquidity Solutions, retirement plans or investment consulting solutions
Experience working in Financial Services industry, preferably in Wirehouse or Regional broker-dealer channels

231

Investment Funds Manager Resume Examples & Samples

Preparation and submission of quarterly and ad hoc central bank reporting
Scheduling of board meetings, preparation of board packs and following up on agreed actions on behalf of the AIFM and individual funds
Maintenance of regulatory calendar for the AIFM and all funds under management
Preparation of presentation and proposal documents for new fund pitches
Tracking and filing of documentation
Recording of material changes and transactions within funds
Preparation and issuing of invoices
Maintenance of data relating to assets under management and capital requirements
Providing general support to other team members as required

232

Equities Investment Writing Specialist Resume Examples & Samples

Generation of thought leadership articles, exploring ideas that relate to specific investment views, producing educational documents on topical industry news and interviewing fund managers
Regular investment reporting, producing commentaries for newsletters, factsheets and presentations
Working directly with fund managers, writing for both institutional and wholesale audiences. Interviewing fund managers, and working with them to generate important content for internal and external use
Working with the marketing team to support specific fund launches and to communicate the company's goals and investment process through campaigns and publications
Writing will be used for different client channels, across a variety of platforms including web, email and print
A skilled writer, ideally educated to degree level with experience in-house as an Investment Writer. Degrees in journalism or English will be considered favourably
The ability to generate new ideas, to research topics and to produce thought-provoking content for diffusion
Excellent understanding of investment management products, particularly equities, within the context of the current economic environment
IMC or CFA preferred, but by no means an essential

233

Investment Data, Asset Management Resume Examples & Samples

Work closely with the Portfolio Managers and Research Analysts to provide data support
Proactive identification and ownership of data quality
Work closely with different offices to ensure the best practice of investment data management
As a key member in the team to represent Investment Data Services internally and externally
Work closely with IT and other functions in solution design, testing and implementation activities

234

Prestigious Investment Firm Seek Corporate Accountant Resume Examples & Samples

Daily cash reconciliation
Full cycle accounts payable
Assist in the T&E process
Record journal entries accruals, prepaid expenses, depreciation
Provide supporting schedules for the balance sheet
Variance analysis & develop commentaries to explain difference
Fund expense allocation
Tracking revenue receivable reimbursement from funds
Sales and use tax (commercial tax)
1099 w-9 w-8 foreign vendors
General partner accounting such as capital calls
Bachelor’s degree in Accounting or Finance
Up to 4 years of related experience
Highly experienced with full GAAP accounting

235

Investment Trade Review Compliance Officer Resume Examples & Samples

Review and approve Investment Counselor (IC) trading activity
Four-year college degree in business related major or equivalent work-related experience
Five years experience in the securities industry
Working knowledge of computers
Advanced securities and insurance product knowledge
Advanced knowledge of securities rules and regulations
Series 24 - Financial Industry Regulatory Authority (FINRA) General Securities Principal License
Series 7 & 63 - FINRA Registered Representative License and State License
Series 65 or 66 - FINRA Registered Investment Advisor License
Series 53 FINRA Municipal Securities Principal License
Life Accident and Health Insurance license
Series 4 - FINRA Options Principal

236

Financial Services Organization Regional Tax Advisory Investment Fund Coverage Resume Examples & Samples

Providing deal structuring (including holding structures and financing) advice in relation to real estate, private equity and infrastructure investments in various jurisdictions across Asia (predominantly in relation to China, Hong Kong, Singapore, India, Korea, and Australia)
Reviewing tax matters in relation to deal team financial models and tax due diligence/structuring assistance
Coordination with various internal and external parties to ensure the timely delivery of sophisticated tax planning, monitoring, and implementing efficient tax advice to various fund clients
Providing and coordinating the provision of local and US tax advice and compliance in relation to restructures, refinancings and disposals of investments

237

Global Investment Opportunities Group Resume Examples & Samples

Expertise across asset classes, including: currencies and commodities; fixed income; equity; derivatives; and emerging markets
Institutional capital markets coverage experience with an emphasis on absolute return focused client
Conducts operations within FINRA and other regulatory agency guidelines and requirements
Ability to work in a team based environment
Seven plus years experience in institutional capital markets sales and trading
Advanced knowledge of derivatives
Licenses 7, 66 required for position
Bachelors degree required; MBA or CFA preferred

238

Cib-alternatives Investment Services Resume Examples & Samples

Experience working on Investor Relations systems upgrades
Experience working in an Agile and Waterfall Project Management environments
Hedge Fund Services Experience
Take responsibility for a group of internal and/or external client projects simultaneously
Under the Agile Project Methodology fulfill the role of Product owner for Investor Relations projects
Manage multiple streams across business functions
Manage the project teams work and performance
Provide Analysts and Test leads with direction and coaching when needed
Consistent and professional approach to project management is essential with particular attention to the risk profile of the project delivery and subsequent operating model
Eight years plus work in Fund Services Projects space
Bachelor's degree and a professional project certification, or equivalent work experience preferred
Experience working with Agile and Waterfall methodologies

239

Infrastructure Investment Group Product Strategist Resume Examples & Samples

Previous relevant experience working within business development or Investor Relations in Consulting, Capital Markets. Infrastructure Investment, Private Equity or Private Credit
Strong capability with project based work and ability to multi-task and work in a fast paced environment
Ability to operate as part of an internationally distributed team
Fluency in English essential, strong German language skills preferred
Strong analytical and conceptual skills with the ability to present detailed financial concepts in a simple, clear and concise fashion. Full proficiency in Word, Excel and Power Point
Master’s degree preferred or undergraduate degree or equivalent with intended progression to CFA or CAIA

240

Investment Systems & Operations Resume Examples & Samples

B.S. or B.A. in finance, Economics or related field
Minimum 1 year related experience in Investment Systems & Operations
Proficient in Microsoft Outlook and Microsoft Office Suite with strong technical skills and advanced ability within Microsoft Excel
General financial instruments knowledge (equities, fixed income, options, swaps, futures, foreign exchange) within both the domestic and global security markets. Knowledge and familiarity with the financial markets. Prior experience with Factset, Bloomberg & Advent suite of products a plus
Ability to thrive in a fast paced and constantly evolving environment with a wide range of responsibilities. Dependable, accurate and conscientious with a strong sense of team effectiveness
Strong analytical skills, service oriented, excellent interpersonal and communication skills, strong organization skills and attention to detail, self-motivated and able to multi-task in an independent and timely manner

241

Manager, Retail & Investment Analytics Resume Examples & Samples

Lead analytics projects and initiatives for Synchrony Connect Consulting engagements. Understand partner business objectives and provide actionable analytic insights on shopper behavior and purchase patterns
Build solutions such as retail prospect models, next likely purchase and store optimization to drive key retailer metrics such as foot traffic, share of wallet, shopper loyalty, ATV, ATF and to decrease attrition
Conduct extensive analysis of partner performance trends and leverage to provide insight into growth opportunities
Leverage predictive analytics tools to drive credit and retail growth
Leverage full tender data and category /SKU level data from partners & loyalty platform to optimize marketing offers and drive higher retail sales
Demonstrate incremental value of credit to partners by utilizing multi-tender and/or external data. This involves shopper and cardholder analytics
Synthesize diverse, complex information to develop a story with data and insights
Proactively identify, gain support for testing and incorporate new sources or data to enhance analytic tools
Proactively identify new analytic techniques to develop differentiated analytic solutions to drive results
Bachelor's degree. In lieu of degree, HS Diploma and 10+ years analytics experience
6+ years retail analytics, credit card analytics, credit card risk, loyalty analytics for credit cards or consumer businesses, marketing analytics, decision sciences, predictive analytics, management consulting for retail business or experience in other quantitative fields OR 10+ years of experience in marketing, portfolio management, product development, or loyalty programs for credit cards or consumer business
Knowledge of and hands-on experience utilizing statistical software, analytical software and predictive modeling statistical analysis & database tools (i.e. SAS, SQL, SPSS, R or Modelbuilder,). Experience with data mining & modeling skills. Advanced skills using spreadsheet (Excel) and presentation (PowerPoint) tools. Strong understanding of retail analytic tools
MBA and/or Masters in degree in statistics, decision sciences, economics, predictive analytics, engineering or other quantitative fields
Proven ability to communicate with and influence leadership including C-suite and retail clients to adopt data and analytics to drive strategy
Hands-on experience with optimization software (SAS OR)
Solid understanding of retail and/or credit card/consumer finance industries’ dynamics, P&L drivers and key sensitivities, with business performance reporting experience
Knowledge of retail POS and merchant data & systems
Proficient in data visualization such as Tableau or SAS VA
Knowledge of Synchrony Retail Finance systems (CDCI, PDR, CRMS, CMAP, FDR, ALP)
Proven success working independently as well as leading and influencing others

242

Regional Investment Platform Manager Resume Examples & Samples

Train and develop new representatives
Train representatives on product features, benefits, paperwork, IRAs, Roth IRAs, Trustee-to trustee transfers, 1035 exchanges, customer profiling and asset allocation, etc
Assist newly licensed representatives with sales presentations to customers or any representative with large or difficult customers
Introduce all new products to the field
Deliver market information and sales tips through frequent sales meetings, daily huddles with bank employees in the banking centers
Train non-licensed employees on referrals and monitor appropriateness of referrals and referral to sales ratio
Review sales activity and sales presentations
Recognize and reward superior performance with gifts, lunches, notes, and awards
Must meet credit history and criminal background requirements associated with Financial Industry Regulatory Authority registration process, to include FBI fingerprint criminal history, review of credit report, civil litigation, liens, and other public records
Sales Management experience preferred
Must have excellent communication and interpersonal skills
Series 7 Financial Industry Regulatory Authority (FINRA) Registered Representative and 63 State licenses, Life, Accident & Health Insurance license

243

Investment Portfolio Analysis Specialist Resume Examples & Samples

Creation of comprehensive and self-explanatory investment portfolio analysis based on client-specific and portfolio-specific inputs received from the Premium Clients Switzerland Desk
Developing concepts and content for customized client related investment portfolio analysis presentations and sales materials
Reviewing and updating investment portfolio analysis presentations and sales materials on an ongoing basis
Acting as a contact point for the front units regarding investment portfolio analysis activities and related documentation
Working to determine creative optimization for portfolio analysis activities performed by Premium Clients Switzerland Desk
Higher education from a leading institution with a strong academic record (preferably in Economics area)
Very good knowledge and understanding of Investment Products
Previous experience in work for the financial or banking sector (considered as a plus)
Analytical thinking with ability to provide reasoning for proposed transactions in a written form based on existing research reports and fund analyst comments
Excellent spoken and written English skills (German skills considered as a plus)
Strong computer skills, especially with Word, Excel and PowerPoint
Proven ability to manage multiple tasks/projects at a time while paying strict attention to detail
Ability to advocate and evangelize for change and innovation

244

Investment Servicing Associate Resume Examples & Samples

Requires previous banking/insurance/office operations work experience
Must be able to work in a fast paced production environment
Prefer previous Annuity or comparable investment industry experience
Requires Computer skills – ability to train on multiple systems and toggle between them to complete job function
Requires understanding and ability to follow procedures and controls
Requires strong customer service skills
Prefer Bachelor’s Degree in Finance/Business

245

Senior ESG Investment Researcher Resume Examples & Samples

Identify and analyse key investment related ESG and sustainability issues for companies and sectors
Engage with companies on ESG issues
Engage in broader industry and government policy on ESG and sustainability issues
Engage with other AMPC investment teams on integration of ESG issues into investment processes and analysis
Market AMPC ESG capability, including as part of other teams' marketing
Client relationship and reporting, in particular with respect to the Responsible Investment Leaders and Sustainable Funds
4-5 years in environmental / sustainability consulting working with companies on environmental (safety) management systems, impact assessment or environmental / due diligence auditing or assurance
Working within companies on the strategic sustainability issues
ESG Research provider
Degree in environmental science, environmental engineering, environmental economics, chemical engineering or environmental management would be ideal
Postgraduate qualifications in sustainability, MBA, CFA or Finance would be preferred

246

Investment Services Analyst Resume Examples & Samples

Bachelors Degree in Business Management, Economics, Finance, or Accounting
Exposure to financial services industry through professional internship
Educational experience with financial instruments and markets
Understands basic & tactical business fundamentals
Basic knowledge of financial services industry
High level proficiency with Microsoft Excel and Access. Experience with Excel macro development and SQL experience a plus
Ability to work effectively under tight deadlines and take initiative to work necessary overtime
Project coordination skills including managing multiple and conflicting deadlines and coordinating delivery directly with clients
Proficiency (i.e. intermediate to advanced skills) with windows-based software (e.g. Word, Excel, PowerPoint). Proficiency in Outlook is a requirement
Knowledge of Russell specific software would be advantage
Ability to learn applications as needed and willingness to be involved in new and ongoing information technology projects
Should possess attention-to-detail skills
Ability to work under pressure and meet deadlines without sacrificing quality
Participate as a strong team member and work in a team environment
Work independently with little supervision of assignments
Be assertive without being abrasive
Be self-motivated, show initiative in all aspects of work (e.g. creating new methods to streamline tasks, troubleshooting and problem-solving) and be committed to getting the job done in a consistent, accurate and timely manner

247

Manager, Investment & Retirement Planning Resume Examples & Samples

Primary accountability is to achieve profitable sales targets by providing leadership, direction and ongoing coaching to the Financial Planners, Investment & Retirement Planning team, building employee engagement through focused sales routines
Must have Personal Financial Planning (PFP) or Certified Financial Planner (CFP) designation
Must have Branch Compliance Officer (BCO) designation
Must have Investment Funds in Canada (IFIC) or Canadian Securities Course (CSC) designation
A minimum of 3 years Sales Management experience preferred – a proven track record of sales managing teams of investment professionals as well as implementing sales objectives and initiation of strategic initiatives

248

Investment Bank Change Resume Examples & Samples

Collaborate with stakeholders to understand root causes and identify appropriate solutions
Verify requirements and their scope and priorities with stakeholders
Proactively identify and resolve requirements conflicts
Manage requirement change and establish and maintain requirement traceability
Work with technical teams to validate proposed solutions
Perform data analysis and presentation using Excel & PowerPoint
Develop a sound understanding of the Bank’s policies, systems and processes
Communicate effectively with a wide range of impacted parties and stakeholders
Provide support and guidance throughout the project lifecycle

249

IMD, Gsam, GS Investment Partners Resume Examples & Samples

Develop product knowledge – gain in-depth understanding of GSIP’s private equity and hedge fund product offering
Investor reporting– take responsibility for the quality and timely delivery of investor reporting and communications such as quarterly letters, annual reviews, capital calls and distribution notices; coordinate portfolio review presentations for investor meetings
Marketing/business development – develop and update marketing materials and internal sales literature
Fund analytics – calculate and track portfolio metrics such as P&L, IRR, fund expenses, future capital needs and distributions; work closely with Controllers and Operations
Investment diligence support–work alongside the investing team in parts of the investment execution process
Portfolio analytics – track and analyze the pipeline of fund investments, individual portfolio company performance and financial information
Project management of major strategic projects for the business such as new products and fund launches and restructuring of existing products
Strong analytical and interpersonal skills
Keen attention to detail
Ability to take initiative and be proactive
Excellent communication skills, both written and verbal
Fluency required in Excel (VBA knowledge a plus) PowerPoint and Word
Highly organized and proven ability to execute and manage complex logistics, projects and tasks
2-5 years prior work experience
Familiarity with equity markets or private equity asset class is a plus
Some travel required, both domestic and international
Series 7, 63/66 is a plus
Accounting background / CFA is a plus

250

Senior Manager, Investment Marketing Resume Examples & Samples

This new role must be credible in the eyes of AMG management locally in North America and internationally as one of a few technical roles in Client Propositions providing dedicated support to one of the key capabilities of the firm. Greenwich and other surveys have suggested that AMG’s marketing and investment communications are poorly perceived and that there is urgency to improve the quality of delivery to key clients. The role holder works closely with Sales, Investment and Product to develop appropriate messaging on our products and capabilities and ensure it is effectively distributed and valued by key target clients. There is a requirement to establish, through challenge and effective influencing, efficient processes within teams that Client Propositions rely upon to encourage effective cross-border delivery of client materials, investment and product communications
Minimum seven years proven and progressive experience in investment management business/capability based role, or equivalent; fixed income portfolio management and emerging market knowledge preferred
Bachelor's degree in business, Finance, or other related field
Strong project management, written communication, decision-making, analytical, organizational, planning and presentation skills
Working understanding of AMG and products/capabilities and credibility with investments/products and a clear and consistent communication of AMG's strategy and positioning across client types; experience dealing with institutional and third party wholesale distribution channels
Understanding of AMG's global and local strengths and weakness and competitive challenges and a clear ability to practically prioritize initiatives and implementation based on this understanding
Understanding of customer groups, distribution priorities and business focus
Flexibility to work with global stakeholders across all major geographies and time zones
Proven ability to make effective decisions when faced with change and competing priorities
Working knowledge of communications processes and delivery
Production experience and proven ability to run core services and communications effectively and manage the integration of these components into client-facing materials
Technical investment knowledge – an understanding of investment philosophy and process, investment products and financial markets and the ability to apply this effectively to client materials

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