Wealth Associate Resume Samples

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C Nienow

Cordia

Nienow

98928 Quinn Mount

New York

+1 (555) 296 2614

98928 Quinn Mount

New York

Phone

p +1 (555) 296 2614

Experience Experience

Boston, MA

Wealth Associate

Boston, MA

Bode-Stanton

Boston, MA

Wealth Associate

Escalate, documenting and reporting any unusual occurrences, suspicious or fraudulent activities, as per established procedures
Minimize the Bank’s exposure to risk by 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
Work with the Market Leads and Relationship Managers to develop and distribute client communication and marketing
Risk Management/Compliance
Manage event-based marketing programs, including development, approvals and implementation of seminars, branch presentations, workshops both with internal partners and externally (e.g., Clients, Centers of Influence)
Leverage business planning practices to manage activities that grow the business through lead identification, prospect development and existing client relationships
Relationship Management

San Francisco, CA

Private Wealth Associate

San Francisco, CA

Wiza, Hills and Ritchie

San Francisco, CA

Private Wealth Associate

Provide customer service to internal and external clients within Private Wealth Management
Promote client services in a manner that maintains and expands business relationships and enhances the image contributing to growth while following Bank policy
Specific administrative duties vary based on specialty area and could include activities such as: opening of new accounts; preparing all account documents, loan documents, reports, and correspondence; preparing and delivering customer analysis, reports and communications, etc
Respond to complex customer service problems, questions and escalated issues from internal and external sources in a professional and timely manner
Complete necessary documentation/research for any account maintenance changes and ensure that the change is completed
Interact with internal and external partners to ensure accurate set up of new account services, resolve operational problems, process various money movements/transactions, fraud and investigation
Build positive relationships with coworkers and clients conducive to obtaining referrals and new business generation

present

San Francisco, CA

Universal Wealth Associate

San Francisco, CA

Bayer, Kuhic and Schneider

present

San Francisco, CA

Universal Wealth Associate

present

Assist in business development and other administrative matters
10%: Risk Management & Control
Provide exceptional service to BMO Wealth clients or prospects by handling incoming calls in an informed, professional and efficient manner
Maintain the confidentiality of both client and Bank information to protect the customer and the Bank and to ensure compliance with Bank policies and procedures
Identify process improvement opportunities to increase efficiency and effectiveness of team and still maintain an exceptional level of service to the client
Managing work within a number of specific productivity targets
5%: Personal Development

Education Education

Undergraduate Degree in Finance

Adelphi University

Undergraduate Degree in Finance

Skills Skills

Responsible, reliable and accountable
Excellent phone and communication skills
Able to work independently
Able to handle large volumes of work and juggle priorities
Respond to client inquiries in a timely, responsive and approachable manner
Thorough investment management knowledge and experience as it relates to understanding economic and capital markets
Advanced knowledge of Excel, Mpower and Bloomberg
Strong interpersonal, communication & listening skills
Strong relationship management skills
Develop financial plans, independently or with the Relationship Manager

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Associate Global Wealth Management Credit & Banking CFO Team Resume Examples & Samples

Credit Costs
Maintain monthly / quarterly Credit Cost process, which involves an understanding of the allowance calculation methodology, charge-offs and recoveries, non-performing loans, criticized loans, and past due loans
Perform variance analysis and explain changes in Credit Costs
Perform scenario impact analysis
Develop and maintain Credit Cost plan / outlook
Partner with Mumbai Finance team on BAU deliverables and ad-hoc requests
Risk Weighted Assets (RWA)
Maintain monthly / quarterly RWA process, which involves an understanding of the RWA calculation methodology across the Basel 1, Basel 3 Advanced, and Basel 3 Standardized frameworks
Perform variance analysis and explain changes in RWA
Support Comprehensive Capital Analysis and Review (CCAR) submission
Perform ad-hoc reporting and analysis of credit portfolio
Implement process improvements and strengthen controls
Engage in projects that impact Credit Costs / RWA
Partner with various groups across GWM, other lines of business, and Corporate Risk
Ability to take ownership and work independently as well as on a team
Strong analytical and financial skills, with ability to synthesize and interpret data
Ability to multi-task and manage multiple priorities and deadlines
Detail-oriented and organized
Ability to work in a fast-paced environment and deliver results on time while maintaining data integrity
Strong communication skills, with ability to summarize and communicate key findings to senior management
Utilize judgment and discretion in working with highly confidential information
Minimum 3-4 years of experience, primarily in financial services
Bachelors degree required (business-related major preferred or equivalent work experience in accounting / finance)
Strong Excel skills required

Private Wealth Associate Resume Examples & Samples

Provide customer service to internal and external clients within Private Wealth Management
Promote client services in a manner that maintains and expands business relationships and enhances the image contributing to growth while following Bank policy
Specific administrative duties vary based on specialty area and could include activities such as: opening of new accounts; preparing all account documents, loan documents, reports, and correspondence; preparing and delivering customer analysis, reports and communications, etc
Respond to complex customer service problems, questions and escalated issues from internal and external sources in a professional and timely manner
Complete necessary documentation/research for any account maintenance changes and ensure that the change is completed
Interact with internal and external partners to ensure accurate set up of new account services, resolve operational problems, process various money movements/transactions, fraud and investigation
Build positive relationships with coworkers and clients conducive to obtaining referrals and new business generation
Responsible for all documentation required to meet compliance standards and Bank regulations
Manage assigned sales officer calendar; schedule appointments, organize and plan meetings, maintain appropriate follow up
Arrange travel and process all expense reports and mileage reports monthly
Successfully navigate and transact within appropriate computer systems. -Other duties as assigned
Demonstrates general knowledge of Bank and Financial products and services
Demonstrates strong client relationship management skills wiht high customer focus
Demonstrates strong analytical and organization skills
Demonstrates ability to manage multiple projects and timelines
Demonstrates proficiency in Microsoft Office (Word, Excel, Outlook, etc) and computer skills
Demonstrates interpersonal skills with an ability to develop and cultivate internal and external relationships

Universal Wealth Associate, BMO Wealth Resume Examples & Samples

General knowledge and understanding of Wealth Management products
An understanding of all types of Investment Plans offered by BMO (Registered and Non-Registered Plans)
University or Community College diploma/degree or equivalent work experience
Working towards or the successful completion of Canadian Securities Course or IFIC (nice to have)
Ability to work in a high stress environment
Is comfortable learning new technology platforms
Must be resourceful, patient and resilient
Some understanding of Risk Management and Compliance
Operates in multiple working relationships/partnerships/environments

Private Wealth Associate Resume Examples & Samples

Responds to client¿s needs, questions, or issues via the phone or in person. Actively engages with the client to uncover their needs. Responds to client requests with a sense of urgency or sets reasonable expectations
Produces high quality client presentation materials including detailed portfolio reporting, annual performance summaries, general correspondence, pitch books and required compliance and/or regulatory communication
Utilizes a variety of complex systems to research, gather, and respond to general questions, issues, or concerns
Produces daily/weekly/monthly reports for the assigned officer including but not limited to; cash balance, overdrafts, pending trades, bond maturities, etc
Understands and complies with all applicable laws, rules and regulations such as CIP, Reg 9, and document management/ retention policies
Accountable for all officer administrative needs including but not limited to; monthly expense reports, travel arrangements, coordinating client meetings and events, filing and record maintenance, etc
Highly motivated self starter with the ability to determine priorities, plan, organize, and follow through on assignments
Highly proficient in all Microsoft Office applications

Associate, Wealth Resume Examples & Samples

Prepare comprehensive reviews for full fee paying clients
Collate information for financial plans, including preparation of instructions to paraplanning for SOA creation
Deal with advice related questions from clients
Assist in research and advice for specific investment actions
Monitor investment strategy opportunities
Review weekly newsletters and update the team on important information
Client meeting scheduling and confirmations
Information validation and timely processing of applications
Access and respond to advisor's email inbox when required
Attend monthly national operation meetings and update team on information

Associate, Wealth Resume Examples & Samples

Manage the diaries and appointments of the relevant team or Senior Wealth Advisor
Respond to inquiries from clients and other Bank staff
Appropriate management of all customer referrals to ensure they are handled professionally and efficiently
Process applications and documentation accurately and efficiently
Administrative tasks, including completion of general accounts/reports
Seek referral opportunities for Managers/Team

Associate Wealth Specialist Resume Examples & Samples

Professional and efficient completion of SOA requests from WS / IS
Liaise with Associate Wealth Specialists to ensure accurate production of SoA’s
Ensure the personal advice provided is of a very high standard and in the client’s best interests
Ensure advisory standards, process and controls are adhered to
Ensure technical knowledge on investments, superannuation, insurance and financial planning is kept up to date
Diploma of Financial Services (Financial Planning) is essential. Advanced Diploma of Financial Services (Financial Planning) is desirable
RG 146 qualified
Minimum of 2 years para-planning experience
Good understanding of personal advice process, advisory standards and advice documentation requirements
Good understanding of financial planning strategies including retirement planning, wealth creation, superannuation strategies and Centre link
Good working knowledge of investments including portfolio construction, product selection covering managed funds, wrap accounts, superannuation, pensions, annuities and structured products
Good working knowledge of life insurance including the ability to conduct insurance needs analysis, matching appropriate insurance products to client’s needs and follow up with the underwriting process
Strong communication skills, and high level of interpersonal, problem solving and influencing skills
Highly motivated and result driven

Associate Wealth Manager Resume Examples & Samples

Handling of documentation as required in relation to direct investments
Preparation and maintenance of financial spreadsheets and reports
Implementation of approved investment strategies, including direct trades
Recommending and executing portfolio rebalancing programs
Management of cash flow in client accounts to meet short and long-term objectives including the operational process of completing actual distributions
Responsive and proactive independent communication with clients and their advisors
Strong work ethic and positive attitude
Intermediate to Advanced Excel, PowerPoint, Word
Attention to detail; specifically in a trading environment
Excellent verbal and written communication
Ability to build rapport quickly and thrive in a collaborative environment
2-4 years of investment related work experience; preferably wealth management related, broker-dealer, or RIA
CFA, MBA or CFP interest or certification
Executive presence/leadership
Bloomberg or SEI familiarity

Wealth Associate Resume Examples & Samples

Ensure all complaints are handled in compliance with relevant codes and regulatory requirements
Liaise with external dispute resolution schemes, the Financial Ombudsman Service (FOS) and Superannuation Complaints Tribunal (SCT) as needed to address queries and complaint issues
Investigate, analyse and identify systemic issues and events
Liaise and co-ordinate with business units for investigation and resolution of complaints as well as to provide feedback on complaint issues and outcomes

Associate International Wealth Structuring Resume Examples & Samples

Providing Partners internal and external to IWS (International Wealth Structuring) with accurate, reliable and consistent support on documentation, expense reports and conducting follow-ups
Interact with colleagues and prospects in a professional, compliant and welcoming demeanor during visits, including meetings held in the office. Ensure that prospects/partners are provided with professional reliable service at all times when visiting or phoning into the office. Ensure that employees of the Miami rep office, receives messages as to be able to provide an accurate response to queries within 24 hours
Prepare monthly expense reports for IWS Team under the supervision of the Senior Manager
Creating prospect files and filing documents when appropriate
Provide professional and reliable demeanor at all times to internal and external partners and prospects
Ensure self-study is undertaken to keep abreast of the changes in regulatory and changes in Fiduciary matters in order to be effective in the position
Continuously building peer relationships while fostering good will, respect and team support
Demonstrating the expected service standards during Client interactions
Ensuring every high-end Client experience is consistent with Scotia Wealth Management standards
Monitoring and achieving key performance metrics for self and service team, i.e. expense controls, client satisfaction, etc
Ensure proper and complete supplies and presentations are maintained in IWS to support the Wealth Structuring Team and Partners on their business development initiatives
Ensure that IWS are provided with updates and new documentation including supporting material, such as presentations or proposals, as required for their Business initiatives and when applicable
Ensure accuracy and integrity of client documentation when submitted to internal and external prospects or partners
Helping to conduct the due diligence process for new prospects, such as requesting world checks or doing internet research
Effectively manage risk and adherence to Do’s and Don’ts
Provide support for special projects and assignments from Management
Ensuring the office is organized, well-supplied and presentable
Ordering office supplies when required, including stationary and equipment
Setting up of meetings in conference room in advance and ordering any required materials/ provisions
Arranging room availability with the Senior Manager for client meetings. Also, Ensuring meeting materials are provided and reviewed by respective attendee(s) in advance
Booking travel when requested for IWS Team
Support IWS Staff by acting as a central point of contact by working closely with technology and system support areas to provide local assistance with implementation and ongoing maintenance requirements
Play key risk management role by
Appreciating and following all relevant policies and procedures and functioning within the guidelines established for the role
Supporting IWS Team with the administration of the Center, answering calls, supporting client visits and contributing during the onboarding process
Timely escalation of issues/obstacles/trends to the Director and Group Lead as appropriate with recommendations/solutions
Reporting immediately any unusual occurrences or fraudulent activity and escalating issues/deficiencies/trends to the Director and Group Lead as appropriate
Contribute to the effective functioning of the IWS team by
Participating actively in team learning development activities and team performance achievements
Maintaining a high level of client service
Actively participating and contributing to touch bases and team meetings. Serving as back up to Senior Manager when they are away from the office
Receiving and sending courier packages in Miami and abroad
Analytical skills and keen eye for detail
Capable of simultaneously handling multiple tasks and meeting stringent deadlines
Able to recognize and handle sensitive and confidential information
Self-motivated, confident and capable of working both independently and in a team environment
Planning, organizational and time management skills
Reliable, consistent and disciplined
Results oriented and high achiever
Knowledge of Scotiatrust Centers, Scotia Wealth Management products and services

Wealth Management Professional, Associate Resume Examples & Samples

Fluent language skills required in English with a strong preference for a Portuguese and/or Spanish speaker
Numerical skills
Time Management and the ability to prioritise
Ability to work in a fast-paced environment within a team-oriented structure
Flexible working approach
Ability to work and think clearly under pressure
Leadership skills and record of demonstrated achievement
Knowledge of Microsoft Office software (Outlook, Excel, PowerPoint and Word)
Interest in the financial markets and good investment sense / commercial instinct

Associate Wealth Management Credit Resume Examples & Samples

Review collateral, borrower legal structure and creditworthiness, to determine acceptability and appropriate advance rates and trading limits
Provide credit support to financial advisors nationwide
Work closely with the business units/operational staff in assessing risk due to market changes
Working knowledge of Outlook, Word and Excel (Strong Excel, VBA and Microsoft Access a plus)

Universal Wealth Associate Resume Examples & Samples

Knowledge and understanding of investment products, processes & procedures and regulatory regulations
A good understanding of all BMO Retails Investment GIC and Term products offered and a basic understanding of Mutual Fund products
Great ability to seek, recognize and act upon opportunities to expand business relationships with clients
Excellent customer service skills; exceptional telephone and communication skills
Goal and achievement oriented
Ability to adapt in a fast-paced, changing environment
Language skills as per regional requirements

Wealth Associate Resume Examples & Samples

Responsible, reliable and accountable
Excellent phone and communication skills
Industry experience required
Post-secondary education is preferred

Senior Associate, Wealth Products Resume Examples & Samples

Support wealth products (Investment, Insurance, and Equity) business of the consumer bank business to identify acquisition and sales growth opportunities, and provide analytical insight supporting business strategies to make the customer joyful
Identify new business opportunity, marketing initiatives. Analyse customer behaviour or other related psychographic attribute and help design campaigns to drive customer engagement and marketing effectiveness with predictive analytics
Work with internal and external partner to support the relevant projects, initiatives in the bank
Strong analytical skills, highly numerate and proactive
Good interpersonal and communication skill
Degree in Banking/Finance, Business, Mathematics/Statistics, Computer or related disciplines
Proficient in SAS Programming, Enterprise Guide, macro and SQL
Preferred knowledge in Business Intelligence tools and data mining

Wealth Associate Resume Examples & Samples

A University Degree or College Diploma or equivalent
Thorough investment management knowledge and experience as it relates to understanding economic and capital markets
CIM, or in the process of attaining CIM accreditation
Enrollment in CFA program an asset
Enrollment in or certification in provincial Life Insurance licensing an asset
Minimum 2 years direct industry experience

Wealth & Asset Management Senior Associate Resume Examples & Samples

Over 3 years’ experience in wealth and asset management industry and have worked with clients including asset managers, wealth managers, fund managers, administrators, financial advisors, investment managers, banks, insurance companies, mutual fund house and hedge fund house etc
Functional and technical knowledge of Temenos Triple’ A, Temenos T24 and BRS products are an added bonus
Knowledge in statutory and regulatory aspects of WAM industry is a plus
Effective day-to-day management of clients; building and maintaining client relationships is crucial
Strong interpersonal, written and verbal communication and people skills
Strong business awareness and good analytical skills
Eager to coach junior team members
Proactive and self-driven, able to engage and manage both internal and external stakeholders to discuss and resolve problems independently
Academic background in Business, Finance, Accounting, Economics or IT

Private Wealth Associate Resume Examples & Samples

Sales Assistant to the Managing Director (MD)
Increase efficiency and quality of team communications
Maximize the time that MD has to market and coach
Organizing and owning MD’s schedule
Contribute directly to the success and growth of team, particularly in new client acquisition
Own and continuously improve the sales and marketing materials, website and processes
Represent the Private bank and the team’s brand for both internal and external COIs
Developing a personal growth plan in order to achieve highest levels of success
Structured time management skills
New business tracking
Collaborative work habits
Team Player with positive work attitude

Associate, Wealth Solutions Group Resume Examples & Samples

Undergraduate University degree in Economics, Finance, Commerce, Accounting, and 4-7 years of related business experience
Completion of Canadian Securities Course required
Knowledge of current financial markets, and an understanding of current market transactions
Able to very quickly acquire knowledge, to demonstrate competence and to add value to the transaction and client relationships
Proficiency in all Microsoft Office Applications( Excel, Powerpoint ,etc.)
Efficient organizational skills to respond to shifting priorities on several simultaneous projects
Excellent interpersonal and relationship building skills in order to develop, manage and leverage relationships with clients, internal and/or external business partners
Significant presentation/interactive skills sufficient to clearly articulate complex conceptual information/ideas on issues involving extensive interpretation and opinion
Proven ability to develop viable product ideas and to lead product development process from idea generation through to closing. Strong project management skills
Highly developed communication skills, both oral and written, sufficient to convey complex factual and conceptual information on issues requiring detailed explanation and interpretation

Associate, Wealth Management Branch CFO Team Resume Examples & Samples

Proactively address areas of focus and produce persuasive, data informed arguments to support senior management in making intelligent decisions
Understand variety of data sources available, their limitations and advantages, and work with business and technology partners to improve them
Combine a curiosity for understanding underlying causes with advanced data visualization tools to produce clear and concise ad hoc analysis
Maintain internal reporting tools through regular monthly processes and implementing improvements to ensure accuracy and timeliness of reporting
2 - 3 years of experience
Microsoft Excel, PowerPoint, Access, Hyperion Essbase, Business Objects, Tableau

Associate Manager, Private Wealth Management Resume Examples & Samples

Set strategic direction for PIA & PIC to grow productivity and profitability
Manage PIC & PIA economics and P&L to build operating leverage
Improve overall advisor experience with TD
Develop & deliver aligned compensation, rewards & recognition
Drive process improvement & standardization to increase efficiency in the branch and corporate office (Ease of doing Business)
Prioritize technology investments across wealth in support of PIA & PIC
Enable strong communications & engagement (eg. MAC, NAC, etc.)
Identify acquisition and growth opportunities (teaming, exp advisor, etc.)
Develop a high performing team and ensure a succession plan
Identify processes to manage and track risk
Work with team to define practice processes (advisor and staff) in support of the HNW Sales and Client Engagement Model
Work with partners (HR, Field, etc.) to define roles, responsibilities and structure, including compensation, of key staff roles in the practice; including a view to career progression
Develop policies, training, and ongoing development support for staff in the context of broader team and client engagement strategy
Implement business process for different models (PIC, discretionary, non-discretionary, etc.) in the branch through staff
Capture key insights from Nat'l Advisory Councils and identify areas to better support staff
Provide channel specific insights to integrate into staff development programs
Ensure risks fall within the TD Bank risk appetite and programs are audit-ready at all times
The selected candidate will also be required to work on ad hoc projects as they arise
Minimum 2 years business process, product management or channel experience with a strong track record of growing profitable businesses and implementing change within an organization
Minimum 5 years wealth management industry experience; advice-channel experience preferred
The aptitude and ability to deal with issues at a high (strategy) level as well as at a detailed, ‘hands-on’, production level
Excellent verbal, written communication skills
The ability to create original written communication materials for use by investment professionals and clients that is informative, persuasive, interesting and value added
Strong analytical/ problem-solving skills and an ability to provide clear and concise direction in a positive and effective manner
Demonstrated leadership skills with superior ability to make things happen through the use of impact and influence
The ability to work both as part of a team and independently to complete tasks, including working over and above a regular workday as required

Wealth Management Alternative Asset Associate Resume Examples & Samples

Ensure all tasks within the specific job functions are processed timely and accurately
Reconcile daily activity and monitoring reconciliation reports to clear out of balances within SLA guidelines
Identify areas of efficiency/automation within daily processes to ensure a scalable solution for our clients
Perform back-up responsibilities for the other desks in the Securities Processing area
Special Projects as assigned

Private Wealth Associate Resume Examples & Samples

Undergraduate degree preferred (related field of study a plus)
Minimum of 1 year professional or relevant internship experience required
Strong client service skills including outstanding verbal and written communication skills, time management and organizational skills
Proficient technical skills including Microsoft Word, Excel, & PowerPoint and Apple iPad & apps
If hired without Series 7 & 66 (combination of 63/65) registrations, candidate will acquire within 12 months of hire
Ability to adapt well to others and transition seamlessly into an existing team
Proficiency with SalesForce is a plus
Client contact, typically by telephone, but also in person and by email
Become proficient in the use of our Wealth Management Workstations and various communication systems
Communicate with clients, fellow employees (Branch and Home Office) and the general public effectively and professionally
Provide administrative support to the team by processing new accounts, maintaining existing accounts, creating and maintaining client files, obtaining required documentation, and answering administrative and operational inquiries
Provide clerical support to the team including word processing, mailings, office equipment operation, documentation requests, and materials handling
Become proficient with task prioritization, follow-up, and resource utilization
Actively pursue the firm’s campaigns and initiatives to serve our clients by delivering the full breadth of resources available
May perform other duties and responsibilities upon Management request as required

Wealth Associate Resume Examples & Samples

Support Overall Market Book of Business
Ensure a comprehensive understanding Private Investment Counsels’ value proposition in relation to client’s financial needs, risk tolerance, and long- term objectives
Stay abreast of changes in client circumstances, economic conditions and market factors to provide knowledgeable response to client questions about lifestyle / needs or capital market conditions that may affect clients’ financial objectives
Support Market Lead through analysis of book, development of market strategies and participation in campaigns and programs
Work collaboratively with the Producing Market Leads and assigned Relationship Managers to satisfy client needs
Respond to client inquiries in a timely, responsive and approachable manner
Proactively identify and implement strategies to address client needs
Prepare, analyze, and present reports and recommendations to clients
Develop financial plans, independently or with the Relationship Manager
Review processes and provide recommendations to improve the client experience and enhance delivery effectiveness
Use strong knowledge of the Bank’s, Scotia Wealth Management group and Private Investment Counsel diverse products and services, to ensure the client’s needs are well understood, documented and satisfied
Work closely with Team of Experts to ensure client life goals are addressed
Actively listen and seek client feedback on products, services and the delivery of client experience
When identified as the client’s Primary Relationship Manager, work closely with the Market Lead and/or Business Coach to further the Business Planning process to develop an in-depth understanding of your clients’ needs
Follow established firm discovery practices to understand client needs, goals and aspiration – and translate into goals-based solutions through investment offerings and/or collaborate with Scotia Wealth Team of Experts partners
Maintain Private Investment Counsel client experience standards regarding business planning, sales effectiveness, client engagement and portfolio management
Develop a business plan to manage sales activity, including goal-setting, pipeline management and revenue forecasting, referral source development and overall business growth, in alignment with the firm’s established practices
Build and maintain accurate prospect and client records in Salesforce.com
Prepare and customize of client portfolio reports, presentation materials, proposals and meeting agendas and other materials supporting client meetings
Maintain solid understanding of client needs and objectives to identify opportunities to expand the relationship across the Scotia Wealth offering
Leverage business planning practices to manage activities that grow the business through lead identification, prospect development and existing client relationships
Manage event-based marketing programs, including development, approvals and implementation of seminars, branch presentations, workshops both with internal partners and externally (e.g., Clients, Centers of Influence)
Prospect and follow up on leads including Centers of Influence
Work with the Market Leads and Relationship Managers to develop and distribute client communication and marketing
CIM, or its predecessor CIF, or in the process of attaining CIM accreditation
Strong interpersonal, communication & listening skills
Advanced knowledge of Excel, Mpower and Bloomberg

Private Wealth Associate Resume Examples & Samples

Strong client service and technical skills (Microsoft Word & Excel), strong communication, time management, and organizational skills
Series 7 and Series 66 (or combination of 63/65) registration a plus
Knowledge of investment and banking products, policies, and procedures a plus
Client contact, typically by telephone, but also in-person and by email
Assemble quarterly reviews for many of the team’s clients
Communicate with clients, fellow employees (Branch and Home Office), and the general public effectively and professionally
Provide administrative support to the Private Wealth Advisor and/or Management by processing new accounts, maintaining existing accounts, creating and maintaining client files, obtaining required documentation, and answering administrative and operational inquiries
Provide clerical support to the Private Wealth Associate and/or Management including word processing, mailings, office equipment operation, documentation requests, and materials handling

Wealth & Asset Management Senior Associate Resume Examples & Samples

Good understanding of economic or market issues and the ability to interpret their impact on clients
Possess strong interpersonal and teaming skills
Strong presentation skills and proficiency in the use of PowerPoint, Word and Excel
Minimum 3 years’ experience in wealth and asset management industry and have worked with clients including asset managers, wealth managers, fund managers, administrators, financial advisors, investment managers, banks, insurance companies, mutual fund house and hedge fund house etc
Track record dealing with senior stakeholders and adapting to demanding environments

Awesome Team-private Wealth Associate Resume Examples & Samples

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

Wealth Associate Resume Examples & Samples

Risk Management/Compliance
Minimize the Bank’s exposure to risk by 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
Support the Portfolio Managers and Associate Portfolio Managers in 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
Adhere to bank and firm standards, policies and business practices to ensure that Private Client Counsel is meeting the appropriate regulatory and compliance requirements as they relate to both new and existing accounts
Escalate, documenting and reporting any unusual occurrences, suspicious or fraudulent activities, as per established procedures

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