Wealth Manager Resume Samples
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Wealth Manager Resume Samples
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AS
A Schmidt
Amiya
Schmidt
8893 Jacey Pass
Houston
TX
+1 (555) 291 6042
8893 Jacey Pass
Houston
TX
Phone
p
+1 (555) 291 6042
Experience
Experience
Boston, MA
Wealth Manager
Boston, MA
Lubowitz-Connelly
Boston, MA
Wealth Manager
- Provide support to the account managers for a number of middle office clients and be a back up resource for staff absences in London
- Assist with and provide presentations on the portal to prospective clients as a web based portal expert
- Innovative thought processes and pro-active time management and task completion follow-through
- Ensuring all databases are maintained, taking responsibly for your own diary management, client documentation and administration
- Identify process and system improvements
- Communicating with a number of internal groups, such as accounting, reporting, performance and front office systems
- Identify client issues and work with the client to a resolution
Phoenix, AZ
Manager, Wealth Management
Phoenix, AZ
Schmitt-Zboncak
Phoenix, AZ
Manager, Wealth Management
- Provide one-on-one personal financial counseling to Deloitte’s Partners, Principals, and Managing Directors (PPDs)
- Provide one-on-one personal financial counseling to Deloitte’s Partners, Principals, and Managing Directors (PPMDs)
- Masters of Accounting-Tax or LLM-Tax a plus
- Educate our PPDs on the Deloitte benefit plans including the impact on their personal finances and personal financial goals
- Provide wealth planning presentations to groups of PPDs both in-person and through webcasts
- Proficiency with BNA income tax software and/or financial planning software a plus
- Review beneficiary designations, estate documents, and asset ownership to ensure consistency with our PPD’s goals for survivor financial security and wealth transfer
present
Los Angeles, CA
Wealth Management Senior Manager
Los Angeles, CA
Powlowski, Ryan and Gislason
present
Los Angeles, CA
Wealth Management Senior Manager
present
- Helps coach and motivate a team of Wealth Management Advisors to achieve the goals of the unit. Ensures Advisors are utilizing internal resources, including the Estate Planning, Portfolio Management, Insurance Planning teams, etc. May also assist in providing oversight of administrative support staff
- Works with the assigned team of Advisors to review planning and advice for complex cases
- Assists the Wealth Management Director in charting strategy and direction in assigned territory
- Monitors competitors’ activities within the territory
- Responsible for developing and maintaining an active pipeline of internal and external talent that can be used to fill future Advisor openings
- Responsible for coordinating projects related to advisory services
- Evaluates current methods and develops strategies to implement changes and improvements
Education
Education
Undergraduate Degree in Accounting
Undergraduate Degree in Accounting
Illinois State University
Undergraduate Degree in Accounting
Skills
Skills
- Pro-active, helpful, effective, positive, flexible, excellent under pressure, confident and knowledgeable middle office activities
- Intelligent, professional and presentable
- Demonstrated ability to deliver prudent advice and instill clients’, prospects’, and professionals’ trust and confidence
- Excellent analytical, presentation, interpersonal and relationship management skills
- Demonstrated track record of strong client service
- 5+ years of experience engaged in some/all aspects of the financial planning process with diverse clientele (numerous sophisticated and unsophisticated clients)
- Excellent verbal, written, and nonverbal communication skills
- Strong interpersonal and client service skills
- Working knowledge of Microsoft Office products including Word, Excel, Office, and PowerPoint
- Strong understanding of financial services industry and investment advisory regulations
15 Wealth Manager resume templates
Read our complete resume writing guides
1
FSO Human Capital Wealth Senior Manager HNW UK Resume Examples & Samples
- CTA or equivalent qualification (or breadth of knowledge equivalent to CTA)
- Qualified as a US Enrolled Agent
- Significant experience in the provision of US/UK advisory & compliance services to high net worth individuals
- Strong technical abilities in both US and UK tax and in the application of the US/UK Double Tax Treaties
- Strong relationship management skills with the ability to manage client expectations
- The ability to identify areas of risk, carry out an effective review and know when to escalate
- Pragmatism and the ability to solve problems creatively
- The ability to drive things forward and work with team members from across the practice
- Client focus and be strategically and commercially aware
- Teaming skills; and
- Enthusiasm and a flexible attitude
2
Global Wealth Management Supervisory Manager Resume Examples & Samples
- The ability to deal effectively with the trading desk and oversee daily operations
- The ideal candidate will have proven ability to evaluate desk procedures and client communication for appropriateness
- Able to identify potential risk areas and / or control gaps along with daily monitoring of trading and business processes
- Experience in supervising fixed income, equity and / or currency trading preferred
- Review of correspondence (including marketing materials, incoming and outgoing correspondence (print, fax, e-mail)
- Review and approval of daily trade activity blotter for regional teams
- Suitability pre-review of transactions - provide guidance on OTC derivative transactions. Pre-trade product review, including document and authorities review for certain foreign and local securities, New Issue and secondary issuance of equities, and Rule 144 where applicable
- Errors- responsible for resolving order errors. This includes identifying circumstances, taking market action when necessary to resolve the error and completing the error reporting. The Supervisory Manager will assign responsibility for errors as necessary
- Client issues -Review client inquiries, issues and complaints. Complete a thorough investigation and follow up letter to client when necessary. The Supervisory Manager involves Compliance, Legal, Risk Management & Control along with Senior Management in the process of reaching an appropriate resolution. Discusses with sales person and provides follow up memo or e-mail when necessary. Records resolution of problem
- Provide oversight to the Fixed Income facilitation book to ensure compliance with rules for the book. Coordinate with global team in respect of oversight over the VaR and Stress value of the book
- Strong understanding of the regulatory requirements and best practices for private bank brokerage and banking
- Strong knowledge on products typically offered by a private bank
- Strong control background with an ability to identify control points
- Comfortable making decisions independently and dealing with conflict
- Ability to interact with all levels of the Private Bank
3
Wealth Manager Resume Examples & Samples
- Provide support to the account managers for a number of middle office clients and be a back up resource for staff absences in London
- Develop over time to become an account manager for + Wealth Managers, Asset Managers, -- - Insurance related businesses and banks, becoming a point of contact for the client to ensure overall client satisfaction
- Become an expert in post trade middle office activities for all instruments with particular focus on securities. Work closely with clients to understand their needs and service requirements
- Identify client issues and work with the client to a resolution
- Work to understand and use all systems used for servicing our clients and all their instruments
- Work to build good relationships with key individuals at existing clients
- Ensure all services are provided to clients in accordance with the contracts between us and any service level agreements (or equivalent) and work to ensure KPIs are met
- Act as a liaison between the client and the production team in India to ensure client satisfaction and work to build and maintain positive, effective relationships there
- Oversight of day to day processing activities taking place in Mumbai and New York
- Identify process and system improvements
- Communicating with a number of internal groups, such as accounting, reporting, performance and front office systems
4
Wealth Manager Resume Examples & Samples
- Write introduction/motivation for annual credit review processes for clients in their portfolio
- Client interaction including: gathering information related to performing financial analysis and providing the client with contract documents for signature
- Accountable for providing information related to the security status reports and performance of financial analysis
- Ultimately responsible for ensuring that credit review processes are conducted on time
- Present, together with the Credit Structurer or Credit Analyst, the deal to the credit forum
- Bachelor Degree in Commerce, Investments, Finance, Mathematics
- Five years investment and wealth management experience within an Wealth management business
5
Wealth Solutions Case Manager Resume Examples & Samples
- Builds and maintains relationships with financial advisors to assist with the generation of new assets
- Educates financial advisors on the benefits of offered wealth management products and services for their clients through individual or group meetings presentations and including branch visits
- Gathers data on specific high net worth client cases, compiles case notes, schedules communications with financial advisors and maintains records
- Conducts research as needed related to assigned client cases, including but not limited to complex planning, private banking and other legal issues
- Collects various proposals and analyses from relevant departments to integrate in client presentation materials
- Manages the tracking of open client cases, as well as assets and business generated from successful cases
- Handles financial advisor communications on Group's roles and capabilities
- Understands and recommends available marketing materials and strategies
- Generates ad hoc reports on the status of wealth management cases
- Company's working structure, policies, mission, and strategies
- Advanced principles of banking and finance and securities broker/dealer operations
- Advanced economic and accounting principles and practices, the financial markets, investments and insurance based products
- Advanced concepts and regulations related to wealth management and financial planning
- Preparing and delivering clear, convincing and professional presentations to small audiences
- Organizational and time management sufficient to prioritize workload, handle multiple tasks, and meet deadlines
- Detailed orientation to ensure quality standards are met without impairing workflow
- Following-up to ensure resolution and completion of tasks
- Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner
- Analyzing business processes and identifying process improvement opportunities
- Incorporate the financial needs and goals of a client into a succinct, professional presentation outlining their options
- Lead a team of professionals effectively
- Identify and position the products and services brokers use in financial planning
- Grow a territory as measured by sales and persistency of business
- Represent the company in a highly professional manner
- Travel frequently with little advance notice
- Use oral and written communication skills sufficient enough to interact effectively with and guide Financial Advisors and their clients on various wealth management options
- Provide a high level of customer service in a calm, courteous and professional manner
- Bachelor's Degree (B.A.) in finance or related field and a minimum of five (5) years of wealth management or financial planning experience
6
Senior Manager, Wealth Management Resume Examples & Samples
- Monitors competitors’ activities within the territory
- Thorough knowledge of the retirement industry, ERISA regulations, financial products, and regulatory/compliance obligations
- Demonstrated experience understanding a client's unique financial situation, providing appropriate advice and solutions, and exhibiting financial leadership
- Excellent interpersonal skills and client face-to-face relationship building skills as well as a team player
7
Supervisory Manager Chase Wealth Management Houston Resume Examples & Samples
- Strategically partner with Market Director to lead and develop supported region
- Review and approve any outside business activities
- FINRA Series 7, 24, 9/10 (or equivalent) and 66 (or equivalent) required in addition to meeting FINRA continuing education requirements
- Ability to travel 50% of the time. This position will report to the Regional Supervisory Manager
8
Manager, Registrations, Wealth Management Resume Examples & Samples
- Provide strong risk management support for the organization as it relates to registration and lead in the management of special initiatives
- Proactively examine opportunities to improve existing processes and identify common themes, trends and synergies in order to identify matters that should be managed through a formal work effort
- Monitor and report on key milestones, issues, risks and dependencies and promptly escalate where ability to adhere to deadlines is in jeopardy
- Leverage best practices and influence stakeholders to resolve issues and meet deadlines
- Communicate plans, progress and recommendations effectively and efficiently, orally, in writing, and by leveraging technology, to senior Compliance staff, business leadership, other support areas and regulators
- Develop policies, procedures, tools and internal controls designed to support Registration staff in fulfilling their mandate
- Step in as needed to coordinate registration deliverables for discrete projects, such as internal and external audits
- Industry related courses: (CSC, CPH, Branch Managers, Option Supervisor, PDO, CCO) desirable
- 5 years + industry experience
- Broad business and compliance experience
- Extensive knowledge of financial services industry, brokerage industry, competitive environment, and emerging trends and client service
- Strong analytical, problem-solving and presentation skills
- Superior knowledge of and experience with standard and project management technology applications, including Microsoft Project and Visio
- Experience distilling complex issues and information into concise and meaningful messages
- Leadership and facilitation skills
- Ability to lead a team of diverse compliance professionals and build effective relationships
- Proven ability to manage through influence
- Proven ability to deliver to deadlines
9
Service Review Unit Private Wealth Management Manager Resume Examples & Samples
- Manage the duties and performance of a team of Associates across multiple locations
- Provide coaching to Associates as needed. Conduct Performance Reviews and identify developmental needs for staff
- Responsible for maintaining service level agreements. Allocate resources as needed
- Participate in recruitment and hiring of permanent, temporary and part-time employees
- Provide world class customer service to both field facing and internal counterparts in all interactions
- Identify opportunities and provide solutions to improve efficiencies and process improvements
- Participate and manage projects with a focus on process improvement, efficiencies, and policy consistency
- Apply firm verification policies for all clients to avoid identity theft and fraudulent activity
- Keep current on SEC/FINRA, Compliance and firm guidelines and policy and procedure changes and apply to processing and all interaction to ensure risk mitigation
- Active Series 7
- Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
- Proficient with Excel, PowerPoint, and strong technical skills and acumen
- Evidence of strong leadership capabilities or previous management experience
- Ability to interact with complex management and senior executives
10
Wealth Advice Center Site Manager Resume Examples & Samples
- Strong leadership and communication skills for coaching, development and driving change
- Strong ability to establish business partner relationships across the firm
- Strong ability to identify, manage, escalate and resolve issues
- Ability to carry out performance assessments and developmental needs
- Positive attitude when responding to and addressing the business needs
- Strong ability to provide accurate and complete data with the ability to identify trends and perform analysis
- Skills to establish policies and procedures when using fixes and/or workarounds
- Demonstrates the capability to use the knowledge from their job to reach decisions that impact the ability of the group to provide "World Class Service"
- Ability to organize thoughts and concepts in order to deliver clear and concise presentations
- Must have strong written and communication skills and ability to interact with all levels of management within the firm
- General knowledge of financial concepts related to their business area and the impact of their actions on financial results
- Direct field and sales management experience; strong knowledge of branch and financial advisor structure, as well as working knowledge/experience with branch supervisory requirements, policies and procedures
- Previous team management and supervisory experience preferred
- Series 7, 9/10, 66 licensed
- Undergraduate degree in business preferred
11
Manager, Wealth Initiatives Resume Examples & Samples
- Assess, articulate and prioritize the impacts of a project/initiative on TD clients and employees
- Engage training, communication and client experience partners to develop integrated training and communication strategies that prepare clients and employees for change
- Build and govern one holistic “client & employee experience” change strategy (directly overseeing and governing communication and training work streams)
- Ensure necessary change management project artifacts or exemptions are complete; participate in day in the life & pilot sessions
- Attend project steering committee meetings & represent the “voice of client & employee experience” for the project
12
Senior Manager Wealth Management Resume Examples & Samples
- Provides leadership, management and support to a team of IT professionals who apply the following technologies: J2EE, Java, XML/SOAP, REST Web Services, DB2, Oracle, Sybase, Perl, JBoss, Apache Web Server and WAS
- Is accountable for leading the successful (on time, on budget, aligned with defined requirements and application roadmaps) implementation of multiple small to large development initiatives over the course of the year
- Communicates with all areas of the enterprise that impact the scope, budget, risk, and resources of the work effort being managed
- Leads balanced scorecard objective setting, resource development planning and fosters a continuous improvement environment within the team
- Has an in-depth knowledge of the principles, theories, practices and techniques for managing the activities related to planning, managing and implementing software projects and programs
- Provides 24 X 7 supports and facilitates problem resolution when production problems occur
- Strong project management skills and knowledge of associated BNS standards and methodology, ideally with a successful track record in delivering large, complex projects including the oversight of multiple initiatives
- Demonstrated leadership skill in a technology role, including experience with balanced scorecard, objective setting, resource development planning, etc
- Ability to manage a department and deal effectively with issues related to department operations (e.g. Offshore Development Capability / ODC, overtime/on call work and remuneration, absenteeism, remedial programs, budgets, etc.)
- Ability to conduct performance appraisals and prepare salary reviews
- Excellent understanding of the Systems Development Lifecycle
13
Manager Taxation Wealth Management Resume Examples & Samples
- Participating actively in team learning development activities and team performance achievements
- Building effective working relationships across the team and with various business line and corporate function contacts
- Maintaining a high level of professionalism and client service excellence
- Actively participating and contributing to touch bases and team meetings
- Actively share knowledge, experience and responsibility to enhance the development of all team members
- Strong operational and strategic thinking skills within a large national tax compliance environment
- Ability to deal with complex issues using strong judgment and problem solving skills to meet very tight deadlines as well as manage several projects at a time
- Communication skills, both verbal and written, as well as interpersonal skills must be very strong
- High degree of understanding of the Federal and Provincial income tax rules with a strong ability to interpret the legislation as it relates to estates and trusts and individuals, including current Canada Revenue Agency policies and estate planning concepts
- In-depth knowledge of the operations of trusts and applicable laws including Excise, CPP, UI and Family Law
- Ability to analyze and interpret trust & legal documents to identify tax issues
- In-depth understanding of business operations and company law including the ability to read and interpret financial statements
- Capability of professionally interacting with accountants, lawyers and prominent individuals while proactively dispensing advice and guidance related to tax compliance
- Understanding of the regulatory environment for trust companies
- Significant experience within a tax unit servicing trusts and individuals
- Completion of CSI or STEP Taxation Courses and current with respect to legislative changes, particularly the frequent changes to the taxation of individuals, estates, trusts and registered charities
- Excellent computer skills are required, particularly in the use of tax preparation programs and MS Office
14
Wealth Management Citiplanner Projects Manager Resume Examples & Samples
- Delivers quality project solution to the business while considering applicable cost, resource and schedule requirements
- Builds and manages high-performing project teams to meet commiments in quality, cost and schedule
- Communicates efficiently with impact at all levels, from team member to senior executive
- Manage CSTC local resources to meet commiments in cost, attrition rate and balanced team structure
15
Senior Manager, Wealth Segment Segmentation Resume Examples & Samples
- Design & enable omni-channel legendary client experiences for the Mass Affluent and High Net Worth segments
- Collaborate with key strategic partners to develop a capabilities roadmap across both Mass Affluent and HNW to help improve our technology platforms within Wealth
- Manage relationships with all Retail, Wealth, Phone Channel, Marketing, Technology and other Partners
- Support strategic initiatives and technology support for the following, but not limited to
16
Wealth Management Senior Manager Resume Examples & Samples
- Works with the assigned team of Advisors to review planning and advice for complex cases
- Evaluates current methods and develops strategies to implement changes and improvements
- Demonstrated leadership skills providing coaching, guidance and expertise in strategic planning and sales to licensed, registered representatives
- Expert knowledge of financial planning concepts including a broad knowledge of all TIAA-CREF products and services
17
Senior Manager, Private Wealth Management Resume Examples & Samples
- Set strategic direction for PIA to grow productivity and profitability
- Manage 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
- Identify acquisition and growth opportunities (teaming, exp advisor, etc.)
- Define the target operating model & long term plan for PIA
- Evaluate business economics & define business strategy to achieve target economics
- Develop competitive intelligence and insights to ensure TD Wealth is appropriately positioned in the market place
- Define advisor and field lead compensation plans and support field understanding and uptake
- Work with key partners; including product, business architecture and finance to develop key initiatives in support of overall strategy
- Prioritize & stage key investments, while managing annual implementation calendar
- Define requirements for R&R, Field events & training
- Provide IA perspective on key programs and projects; manage input from key field partners. Ensure projects align with long term strategy
- 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 5 years business strategy, product management or channel experience with a strong track record of growing profitable businesses and implementing change within an organization
- Minimum 10 years wealth management industry experience; advice-channel experience preferred
- Minimum 5 years people leadership experience with a focus on developing others, coaching for high performance and providing guidance on initiatives
- 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
- #LI-AN2
18
Senior Manager Wealth Management Resume Examples & Samples
- We prepare our Advisors for success with comprehensive training and tools. This includes a training program, mentorship program, peer coaching support, and ongoing education on investments, wealth management, new financial tools and company products
- Responsible for assisting aligned Wealth Management Director with the oversight and management of a group of Wealth Management Advisors. This includes: compliance, monitoring Advisor performance/metric against scorecard; reporting; the principal review of the Advisors' recommendations; tracking of training and licensing requirements; and adoption of the Consultative Selling Process
- Helps coach and motivate a team of Wealth Management Advisors to achieve the goals of the unit. Ensures Advisors are utilizing internal resources, including the Estate Planning, Portfolio Management, Insurance Planning teams, etc. May also assist in providing oversight of administrative support staff
- Assists the Wealth Management Director in charting strategy and direction in assigned territory
- Responsible for coordinating projects related to advisory services
- Prior sales management experience preferred. Must have demonstrated superior sales management expertise and coaching/motivating/developing staff
- Proven track record in generating sales and managing relationships with high net worth clients, including broad technical skills in retirement products, general investment matters and applicable tax and estate planning issues
- Experience with client relationship management (CRM) systems
- Industry designations such as Certified Financial Planner (CFP), Chartered Financial Consultant (ChFC), Chartered Mutual Fund Consultant (CMFC) are strongly preferred
19
Unit Control Manager, Citi Wealth Advisors Resume Examples & Samples
- Perform supervisory reviews on sales activities covering client accounts and transactions executed on the brokerage platform
- Provide regular guidance and interface with US and local/regional Legal, Compliance, Risk and Regulatory units as necessary
- Managing the control framework to ensure the day-to-day control requirements are carried out including business reviews, trade surveillance, client compliant resolution and operational risk management
- Assist in preparation and implementation of risk and control procedures and business processes to cover applicable regulatory requirements and corporate policies and to align with the Consumer banking standard
- Perform on-going risk assessment and certification to ensure all control procedures are functioning properly and sufficiently
- Assist in preparation and review of product programs to ensure all applicable requirements are covered
- Special focus on the KYC and AML processes to ensure all critical requirements are covered and properly tracked and escalated
- Support the on-going governance process, covering the CWA BRCC, Advisory Fiduciary Business Committee and Investment Supervisory Committee priorities
- Assist in preparation of the monthly metrics to track financials and KRIs for management awareness and action
- Assist in staff development and resourcing planning to ensure an adequate support to the business
- University graduate with 10 years of relevant experience in risk, control and compliance functions in financial service industry
- Private banking or wealth management experience an advantage
- Able to work independently, multi-task to tight deadlines
- Good writing and presentation skills
20
Category Manager Wealth Management Services Resume Examples & Samples
- Build a short and long term category strategy that aligns to overall Lines of Business’ strategy with input from key stakeholders (Line of Business, Compliance, Risk, Sourcing, Vendor Management)
- Develop and maintain collaborative relationships with stakeholders to ensure strategy alignment to business needs over time and that the supplier base is capable of supporting the strategy
- Oversee and ensure deployment of category strategy implementation activities to deliver the expected business value through collaboration with key business partners
- Build and maintain collaborative relationships with Sourcing Teams, Line of Business Leaders, and key stakeholders. Share ownership and accountability for driving and delivering results through agreed upon strategies. Ensure strategies remain in alignment with business goals over time
- Identify business enablement opportunities and provide category related insights and recommendations. Provide commodity knowledge to internal clients on industry trends, benchmarking, and best practices
- Maintain expertise in the spend category through relationships with sourcing teams, product teams, capability owners, business units, suppliers, market experts, and global/regional liaisons. Know and apply value chain and value stream concepts
- 5+ years of category procurement experience, designing and implementing successful Category/Sub-Category strategies for Fortune 500 Company, preferably in the financial services sector
- Financial Services & Operations category management experience (i.e. Wealth Management, Corporate & Institutional Products and Due Diligence Services)
21
Manager Wealth Transformation Resume Examples & Samples
- Minimum 5 years progressive wealth management experience, of which 2 years has been in managerial capacity. Industry specific experience required. Advanced degree may substitute for some required experience
- Proven quantitative, organizational, strategic thinking, decision-making and managerial skills
- Knowledge of products offered through financial services industry, with particular focus on wealth distribution operations as well as laws and regulations affecting their delivery
22
Manager Wealth Management Resume Examples & Samples
- Work closely with a TD Wealth Management Compliance in coordinating all reporting deliverables (e.g. board reporting, risk committee reporting, etc.)
- Authors, reviews and analyzes reporting information and metrics for the identification of trends and compliance issues
- Responsible for managing the annual Compliance Opinion and Self-Assessment process as part of OSFI's E-13 guideline for the TD Wealth Management Compliance program
- Ownership of TD Wealth Management Compliance policies, procedures and other governance documentation
- Maintains Compliance process, tools and templates, in alignment with Global Compliance standards and guidelines
- Provides training to TD Wealth Management Compliance on process and tools
- Act as the subject matter representative for the TD Wealth Management Compliance group in relation to Compliance applications and assist in any discussions relating to
- System enhancements
- Maintains a strong understanding and knowledge of regulatory matters that impact TD Wealth Management Compliance
- Acts as the central point of contact for Internal Audit and regulatory exam management for TD Wealth Management Compliance
- Manages the overall issues and events management Assist in ensuring the Compliance technology system is updated on a regular basis with issues and event records
23
Wealth Management Senior Manager Resume Examples & Samples
- Anticipate trends that impact sales and retention and recommend corrective measures to better position advisory team for delivery of optimal performance
- Ability to manage and influence a large number of direct and indirect reports
- Designs and implements policies and procedures for the group – .CRC, Wealth Management Outreach Consultant, Regional Manager, and/or Wealth Management Investment Specialists and participates in developing and establishing company-wide policies and processes across TIAA departments
- Ability to supervise advisor team in Wealth Management Director’s absence. Provides sales coaching for WMAs of partner Director team
- Independently lead CRC project initiatives that affect Individual Advisory Services and other departments. Project Management may account for 15 to 20 percent of job responsibilities
- Drives efficiency and quality improvements in processes and systems to positively impact bottom-line and/or participant service
- Manages cost appropriately
- Responsible for leading practice management process and guiding change
- Assist in handling of escalated supervisory and service calls for Wealth Management Directors
- Manage external discussions with clients in place of partner WMA Director where needed
24
Senior Manager, Digital Channels, Wealth Resume Examples & Samples
- Previous employment experience in a digital role, 3-5 years of digital experience
- Experience with innovative digital change processes, digital trends and online strategy
- Knowledge and experience with self-directed investing in a financial environment
- Experience in an investment trading or investment brokerage environment would be considered a definite asset
- Strategy Development, Management and Integration
- Process Co-ordination and Management
25
Senior Manager, Digital Channels, Wealth Resume Examples & Samples
- Minimum of 5 years of experience building and deploying digital experiences within Financial Services industry (preferably in Wealth Management)
- University degree in Business, Marketing, or other relevant education. MBA and/or investment credentials strongly preferred
- In-depth knowledge of and enthusiasm for digital technologies, UX, usability testing, digital analytics and user centred design practices
- Minimum 2 years of experience successfully leading a team, preferably tasked with digital deliverables
- Experience in strategy development and implementation with demonstrable ability to bring strategy to life by gaining senior stakeholder buy-in
- Ability to build strong relationships with different stakeholders, particularly senior leaders with the proven ability to work with multiple organizational levels and functional departments
- Good understanding of user interfaces and front-end design within Financial Services (preferably Wealth Management)
- In-depth project management experience and time management skills
- Ability to adapt to a fast-paced environment with changing priorities
26
Premium Wealth Manager Resume Examples & Samples
- Strong understanding of Wealth products, specifically broking and margin lending
- Sales experience is essential
- Maintains the reputation of the bank and act as an advocate
- Exceptional relationship management and organisation skills
- Ability to educate others without giving any financial advice
- Strong verbal and written communication skills and computer literacy
27
PIC Wealth Manager Resume Examples & Samples
- Delivering exceptional client experience and the wealth advisory value proposition
- Providing life-based wealth solutions through collaboration with team of experts and total wealth partners, focusing on enabling client goals and life plans
- Based on an intimate understanding of their clients’ situation, identifying and capitalizing on new business opportunities throughout the lifecycle of client relationships
- Proactively identifying and implementing strategies to address client needs
- Wealth Strategy Support and Execution
- Utilizing established Life Discovery processes to develop an in-depth understanding of client’s needs to support the CRIA teams’ recommended strategy and investment solutions based on the client’s needs, risk tolerance and short/medium and long term objectives
- Supporting the client’s Financial Plan and wealth strategy and participating in the client’s annual Financial Plan review process
- Identifying new business opportunities to gather additional assets and/or increase revenue
- Adhering to bank and firm standards, policies and business practices to ensure that Private Investment Counsel is meeting the appropriate regulatory and compliance requirements as they relate to both new and existing accounts
- Deep wealth management know-how and depth of experience required as it relates to understanding economic and market data in order to describe the firm’s wealth solutions strategy to partners and clients
28
Manager, Wealth Contact Centre Resume Examples & Samples
- Deliver operational plan activities on time and within budget, while establishing and reporting against performance measures
- Drive and develop a skilled and motivated team of people managers, maintaining a team of highly skilled and motivated people
- Ensure the delivery of optimal business resource capacity within customer demands, forecasting the business' future forecasting resource requirements
- Develop and coach people leaders and team members across the MLC contact centre
- Manage change implementations, support the team through new product introductions and seek continuous improvement whilst encouraging your team to do the same
- Ensure the achievement of targets and customer service standards, managing each sub function to achieve objectives towards the overall objectives of the Contact Centre
- Work flexibly and supportively with colleagues both within own business unit function and outside to ensure that the function overall operates in a smooth manner
- Leader of Leader experience in an operational environment (preferred)
- Wealth experience
- Contact centre leadership experience
- Understanding of the distribution networks of Wealth
- Strong relationship management and service skills
- Excellent representation, stakeholder management and communication skills
29
Senior Manager, Wealth Naccc Resume Examples & Samples
- Undergraduate degree plus Graduate degree preferred or/ equivalent experience
- Minimum of 10 years professional experience in business direction, planning and sales mgmt
- 3-5 years of call centre Management or wealth Branch Management experience
- Expert knowledge of rules & regulations governing FDIC insured and non-FDIC investment products
- Series 7,63,24 and 65/55
- Business Acumen (in-depth)
- Environmental Understanding (in-depth) – including: expert knowledge of competitive investment market place trends in product offerings
- Financial Planning designation and/or working towards a CFA (an asset)
- General computer knowledge (Word, Excel, Outlook)
- Exceptional Customer Service skills (in-depth)
- Exceptional Communication skills (written and oral) (in-depth)
- Advanced problem solving skills and problem resolution
- Organizational skills (in-depth)
- Managerial leadership (in-depth)
- Coaching skills (in-depth)
- Ability to adapt in a fast paced, changing environment
- Must be resourceful, resilient and patient
- Self motivated and have the ability to work independently
- Expert strategic planning skills
- Expert product management skills
- Strong Relationship Management – Internal/External
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Private Wealth Services Manager Resume Examples & Samples
- Oversee the efforts of multiple client services teams on client engagements; plan, execute, direct, and complete tax projects in a wide variety of industries; provide innovative tax planning, consulting, and compliance expertise to clients; market, sell, design, and implement tax-planning strategies for clients and manage to budget
- Provide tax planning and consulting to our firm's high net worth clients for estate, wills and trusts taxation, and individual income taxes. Interact closely with client's other advisors, such as attorneys and financial asset managers
- Manage, develop, train, and mentor staff on tax projects and assess performance for engagement and year-end reviews
- Bachelor's degree in Accounting. CPA required. A minimum of six years of progressive tax consulting in Family Wealth Planning or related area in public accounting or consulting
- Experience in dealing with family units with $25 million and above in net worth, and a proven track record of implementation of tax strategies
- Exceptional client service and communication skills with a demonstrated ability to develop and maintain outstanding client relationships
- Masters in Taxation, LLM in Taxation, JD, or CFP preferred
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Private Wealth Services Senior Manager Resume Examples & Samples
- As a Senior Manager, a significant portion of responsibilities will be in the development of the practice, as well as attracting and mentoring talented professionals
- Develop a project vision and set challenging personal and client service team goals
- Bachelor's degree in Accounting. CPA required. A minimum of ten years of progressive tax consulting in Family Wealth Planning or related area in public accounting or consulting
- Masters in Taxation, LLM in Taxation, JD, or CFP
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Private Wealth Services Senior Manager Resume Examples & Samples
- Continuing the development of the practice, as well as attracting and mentoring talented professionals
- Acting as the lead relationship professional with our family business owners, and highly affluent individuals and their trusts, building strong relationships with the area’s top trust and estate planning attorneys, and investment advisors
- Overseeing the efforts of multiple client service teams on engagements; providing innovative income, estate and gift tax planning, consulting, and compliance expertise to clients
- Providing tax planning and consulting to our firm's high net worth clients for individual and fiduciary income taxes
- Interacting and collaborating with client's other advisors, such as attorneys and financial asset managers
- Managing, developing, training, and mentoring staff on tax projects and assess performance for engagement and year-end reviews
- Bachelor's degree in Accounting. CPA OR JD required
- A minimum of ten years of progressive tax consulting in Family Wealth Planning or related area in public accounting or consulting
- Experience in dealing with affluent families and closely-held businesses, and a proven track record of implementation of tax strategies
- Ability to manage multiple engagements and competing priorities in a rapidly growing, fast- paced, interactive, results-based team environment
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Manager, Wealth Management Resume Examples & Samples
- Provide one-on-one personal financial counseling to Deloitte’s Partners, Principals, and Managing Directors (PPDs)
- Deliver detailed financial planning analysis to our PPDs in the areas of retirement planning, education funding for children, home purchases, and debt management
- Review beneficiary designations, estate documents, and asset ownership to ensure consistency with our PPD’s goals for survivor financial security and wealth transfer
- Educate our PPDs on the Deloitte benefit plans including the impact on their personal finances and personal financial goals
- Provide wealth planning presentations to groups of PPDs both in-person and through webcasts
- Strong written and verbal communications and presentation skills
- Team-oriented, self-starter, able to manage junior team members and work directly with clients
- Proficiency with Excel spreadsheet modeling required
- Proficiency with BNA income tax software and/or financial planning software a plus
- Required Licenses, Certifications, and Other Requirements
- Bachelor's degree in Accounting, Finance or other business related field
- Masters of Accounting-Tax or LLM-Tax a plus
- CFP or PFS certification a plus
- Education & Experience
- Five or more years of financial planning experience, preferably with experience in the preparation of financial planning analyses for affluent or high net worth individuals
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Wealth Manager Resume Examples & Samples
- Serve as the primary contact with individual clients concerning comprehensive personal financial planning and investment planning to closely held business owners, corporate executives and other high net worth individuals
- Identify problem areas and make recommendations, select appropriate investment and insurance products compatible with the client's goals, risk tolerance, time horizon and expected rate of return
- Support current Senior Wealth Advisor in creating cohesive business development strategies with an internal focus meeting with meeting with local CPA leaders on current client needs
- Supporting local clients of internal CPAs that may want advice on: current investment strategies and selection, advice on social security maximization, and retirement and benefits
- Support Senior Wealth Advisor in building a cohesive handoff of current B and or C clients for the Senior Planner to cover
- Coordinate client planning and service with current members of the team
- Assists in achieving revenue goals by networking within and outside of the company for referrals and developing a book of business for investment management. Specifically: being client facing, client serving, and having the ability to close new business
- Consistently follows procedures to be compliant
- Multi Ohio office location site coverage requiring 20-25% travel with limited overnight stays
- 6 to 10 years of experience within a professional service industry, ideally within an environment where advice base fees where the primary method of engaging the client such as Trust Services, Estate Planning, Fee based financial planning, accounting or a role as a financial advisor demonstrating planning as the primary approach to executing an investment solution
- Enthusiastic and positive approach to problem-solving and client service
- Proven track record with cross training, task-sharing and mutually supportive teamwork
- Innovative thought processes and pro-active time management and task completion follow-through
- Undergraduate Degree in Business (Accounting a plus)
- CFP
- PFS
- Deep roots in the community
- Experience with Schwab Institutional, eMoney Advisor, Black Diamond, fi360, and other financial planning software tools is a plus
- Life and Annuity License
- Series 65 or ability to obtain
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Senior Wealth Manager Resume Examples & Samples
- At least 8 years of portfolio management experience in the investment management industry
- CFA®, CFP®, CIMA®, and/or ChFC® professional designations
- Experience providing wealth management services to large and complex family relationships
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Beijing, Wealth Management Senior Manager Resume Examples & Samples
- Provide investment education and guidance to clients, prospects and subordinate investment consultants
- Ensure use of open architecture product selection to ensure best in class product offering
- Provide input and support for the development of new business initiatives and product enhancement
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Shanghai, Wealth Management Senior Manager Resume Examples & Samples
- Assess client need, experience, expectations and risk tolerance
- Develop comprehensive investment strategy and asset allocation proposal appropriate to client
- Coordinate execution of investment strategy with appropriate products and services
- Identify and communicate issues or limitations related to product, platform, operations, systems or pricing
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Wealth Manager Resume Examples & Samples
- Developing a professional, mutually beneficial and profitable relationship between the client and Private Investment Counsel
- As the primary relationship manager, acting as the central point of contact for all client needs
- Collaborating with the Centralized Investment Management team who will execute upon defined investment management processes to communicate advice to clients on their investment portfolio
- Partnering with financial planning experts to engage clients in a robust discovery and planning process the output of which will be a detailed financial overview and plan
- Leading and coordinating the continual review and monitoring of a client’s financial plan and wealth strategies stemming from the plan
- Developing and managing business plans including sales targets and marketing strategies for prospective and existing clients
- Executes upon Life Discovery processes to understand client life goals and to deliver a continual and suitable total wealth offering for the client’s full wealth lifecycle
- Working closely with Market Lead to analyze market opportunities and develop appropriate business development, referral and partner inclusive strategies
- Partnering with the internal referral sources in the business acquisition process
- 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
- Meeting with key industry and business leaders to identify prospects and referrals from internal and external networks / Centres of Influence (COI)
- Ensuring the suitability of total wealth strategy in alignment with clients’ financial goals, objectives and risk levels
- Escalating, documenting and reporting any unusual occurrences, suspicious or fraudulent activities, as per established procedures
- University Degree (Business, Economics, Accounting, Finance)
- Minimum 5 years direct experience in a senior wealth focused relationship management role and comfort in offering total wealth solutions to HNW and/or UHNW clients
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Wealth Management Personal Trust Manager Resume Examples & Samples
- Provide expert advice and counsel in the area of personal trust products and services
- Provide high level customer service to customers, attorneys, and beneficiaries relating to these accounts
- Administer accounts in a manner that ensures compliance with legal requirements and business line policies and procedures
- Shared responsibility for soliciting, developing, managing, and retaining client relationships for Wealth Management
- Ten or more years of wealth management experience in the financial services industry
- JD and/or LLM or MS in Taxation
- Strong personal trust and relationship management skills
- In-depth knowledge of fiduciary services
- Advanced knowledge of Wealth Management products and services
- Considerable knowledge of personal trust products and services
- Strong networking and business development skills
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Wealth Platform Adoption Manager Resume Examples & Samples
- Advisor Network Adoption Strategy to maximize SWP ROI using
- Role specific training/communication plans
- Targeted development enhancements to drive usability
- Best Practice Content & Modules to reinforce SWP value
- Management metrics to measure plan efficacy
- BS/BA degree in business, finance, engineering or related field, or the equivalent in education and work experience
- 7+ years experience, Advisor/Financial Intermediary industry preferred
- 3+ years supervisory or management experience preferred
- Working knowledge of FinTech Platforms and usage
- Proven communication, leadership, organization and planning skills
- Ability to work independently and manage requests from multiple stakeholders
- Excellent communication skills (Strong written and oral communication skills)
- Ability to think strategically but have strong attention to detail
- Team player, with strong interpersonal and networking skills
- Ability to coordinate and manage multiple initiatives
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Senior Manager, Wealth Specialist Resume Examples & Samples
- Primarily to engage in sales and promotion activities of Manulife mutual funds, investment choices under investment-linked assurance schemes (“ILAS”) and single premiums ILAS through regular guidance and information provision to in-house agents
- Provide regular market update sessions by way of district visits, classroom training and coaching workshops for in-house agents
- Co-ordinate and offer support to in-house agents in prospecting events such as seminars to their clients and direct meetings with their clients
- Assist in the preparation of reports and sales materials for reference and use by in-house agents in respect of Manulife mutual funds, investment choices under ILAS and single premiums ILAS
- Carry out the duties as a designated Responsible Officer to supervise in-house agents with the SFC license in accordance to the Responsible Officers Manual and related guidance notes and practice notes with regard to the distribution of Manulife mutual funds
- Bachelor or Associate degree holder
- Over 5 years of relevant experience in banking and/or financial services industries with at least 2 years of management or supervisory experience
- Holding a registration with Hong Kong Monetary Authority as Relevant Individual or a license with the Securities and Futures Commission for Type 1 Regulated Activity (i.e. Dealing in Securities) in the last 3 years is a must
- Previous working experience as an Investment Consultant or Insurance Specialist is a definite advantage
- Dynamic individual with good interpersonal and communication skills
- Mature and well-organized
- Proactive and able to work under pressure and meet tight deadlines
- Good command of both spoken and written English and Chinese
- Excellent PowerPoint skills, Word and Excel
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Wealth & Asset Management Manager Resume Examples & Samples
- Over 6 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
- Prepared to travel
- Entrepreneurial and eager to learn
- Strong interpersonal, written and verbal communication and people skills
- Strong business awareness and good analytical skills
- Proactively manage and mentor 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
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Wealth Manager Resume Examples & Samples
- Building meaningful long term wealth management relationships with a portfolio of complex or high value clients, and with key stakeholders including banking relationship managers
- Maintaining your knowledge by keeping up-to-date with changes in the financial and local market places, and making sure it's reflected in your advice
- Delivering against a balanced scorecard including quality of advice, investment reviews, generation of new advice income, and customer service
- Adhering to procedures and processes while meeting the relevant quality standards and deadlines
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Manager Wealth Management Resume Examples & Samples
- Front, middle and back office solutions
- Mobile and Digital solutions
- Credit and Operations Risk Management
- Trade Finance
- Leadership and management of consulting teams
- Contributing to thought leadership relating to Wealth Management industry trends
- Providing line management, mentoring an guidance to more junior consulting staff
- Detailed understanding of Wealth Management and/or Private Banking organisations
- Experience of managing and mentoring teams
- Experience working in a consulting firm desirable
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Senior Manager Wealth Management Resume Examples & Samples
- Wealth and Private Banking
- Leadership and management of consulting engagements and teams
- Leading/contributing to thought leadership relating to Wealth Management industry trends
- Contributing towards proposals and business development opportunities in Wealth and Private Banking clients and prospects
- Detailed understanding of Wealth Management processes and solutions
- Detailed understanding of Financial Planning and Advisory processes and tools
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Private Wealth Manager / Senior Manager Resume Examples & Samples
- 7 or more years of international tax experience, preferably with at least three years' experience in individual, trust and business flow through entity taxation, as well as experience working with high-net worth individuals and families, corporate executives, and/or owners of closely held businesses
- Preferred multilingual written and spoken fluency in business Mandarin & English
- Proven people leadership skills through mentoring, coaching and developing teams
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Senior Manager, Wealth Segment Segmentation Resume Examples & Samples
- Improving how we utilize customer data to identify customers who would benefit from savings and investment products and/or advice
- Engaging those customers much more proactively through online and telephone contact, and our sales teams in TDCT and TD Wealth
- Enhancing the ability of TDCT Financial Advisors and TD Wealth Financial Planners / Investment Advisors to guide retirement conversations and to sell savings and investing product solutions to the Mass-Affluent customer segment
- Creating more customer-centric ways to determine how and where to refer TDCT customers within TD Wealth. The intent is to ensure a better customer experience, a closer fit with their needs, higher close ratios, and stronger share-of-wallet and profitability for TD.We believe it is possible to double savings and investing sales within TDCT and to double referrals to TD Wealth, and that we can grow TD’s market share and deliver a much stronger customer experience for TD’s customer segments.This team will actively work to strengthen the strategic and tactical alignment between TDCT, TD Wealth, Marketing, Digital, Phone and other partners – a key driver of the Wealth Segment Strategy organizational and reporting structure. To support a strong partnership, we have ongoing and regular forums to work through improving our capabilities - products, sales, and marketing – and we encourage movement of key people between our businesses.Success for Wealth Segment Strategy will be measured along a number of metrics
- Customer booking / show-rates for branch appointments (including referral targets to TD Wealth)
- Customer consolidation of assets held with other financial institution delivering targeted AUM. Share-of-wallet targets for various customer segment cohorts as established in the Mass-Affluent business case
- Product mix delivering required P&L benefits (margin, NIAT)
- Define or contribute to strategic agenda and goals for WSS related to the client graduation and referral programs between TDCT and Wealth
- Distribution (test and builds , increase FP capacity) and Product strategic pillars
- Implementation of programs/ test and builds (not field execution)to support overall team objectives (eg DTA/ITP, location strategy competitive)
- Lead working teams to ensure optimal stakeholder engagement across TD Financial Planning, Private Wealth Management, and Direct Investing
- Participate in broader TD working teams to embed a WSS strategy lens where required
- Contribute thought leadership aligned to WSS outcomes and strategic pillars
- Continually enhance employee and customer experiences
- Collaborate with key strategic partners; TD Wealth, TDCT , Phone Channel, Marketing to deliver outcomes
- Support VP/AVPs WSS team in the effective delivery of strategic projects
- Work within identified budgets, delegations and processes
- Provide support and leadership for functional area of expertise
- Develop procedures/tools to support implementation of adopted strategies and policies
- Provide timely and accurate information and reports for input into decision making and actions for the group
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Wealth Manager Resume Examples & Samples
- Active Series 65 exam or equivalent
- Bachelor’s degree in Finance or other business related field
- Working knowledge of Microsoft Office products including Word, Excel, Office, and PowerPoint
- Excellent verbal, written, and nonverbal communication skills
- Excellent analytical, presentation, interpersonal and relationship management skills
- 5+ years of experience working with clients in an investment advisory capacity
- 5+ years of experience engaged in some/all aspects of the financial planning process with diverse clientele (numerous sophisticated and unsophisticated clients)
- Demonstrated ability to deliver prudent advice and instill clients’, prospects’, and professionals’ trust and confidence
- Professional designation of CFP© strongly preferred
- Strong understanding of financial services industry and investment advisory regulations
- Strong understanding of many aspects of Wealth Management including mutual funds, money manager programs, insurance, annuities, estate planning, etc
- While performing the duties of this job the employee will regularly be required to sit, stand, reach, walk, drive, kneel, crouch, crawl and lift and/or move up to 25 lbs
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Manager, Wealth Management Resume Examples & Samples
- Provide one-on-one personal financial counseling to Deloitte’s Partners, Principals, and Managing Directors (PPMDs)
- Deliver detailed financial planning analysis to our PPMDs in the areas of retirement planning, education funding for children, home purchases, and debt management
- Review beneficiary designations, estate documents, and asset ownership to ensure consistency with our PPMD’s goals for survivor financial security and wealth transfer
- Educate our PPMDs on the Deloitte benefit plans including the impact on their personal finances and personal financial goals
- Provide wealth planning presentations to groups of PPMDs both in-person and through webcasts
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Wealth & Asset Management Manager 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
- Leverage technology to continually learn, improve service delivery and maintain our leading edge best practices
- Strong presentation skills and proficiency in the use of PowerPoint, Word and Excel
- Minimum 6 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
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Global Wealth Manager Resume Examples & Samples
- Provide comprehensive analysis and support for client accounts
- Facilitate the execution of transactions via Service Trading Teams in accordance with client and Advisor instructions and consistent with internal policies and procedures
- Determine and recommend solutions to meet client needs and/or resolve issues surrounding investment related transactions
- Prepare meeting materials and create customized reports to address client needs as required by the Advisor and/or the client
- Series 7 66 highly preferred, or must be obtained within 6 months of hire
- Minimum 1-4 years of client service or investment account related experience preferred
