Wealth Management Associate Resume Sample
Ezra Glover
878 Dickens Cliffs,
Dallas,
TX
+1 (555) 786 8523
Work Experience
Wealth Management Associate
06/2017
-
PRESENT
San Francisco, CA
- Working closely with the PWM’s, Market Leader and/or team to prepare client and prospect presentations
- Onboarding new clients
- Serve as a back-up administrator to Banking Associate or Trust Associate
- Manage travel and expense reporting for PWM’s
- Provides assistance in the day-to-day processing of client paperwork and transaction processing. This includes checking paperwork for completeness and accuracy and opening client accounts
- Maintains and assists with Relationship Managers and Financial Advisors schedules by setting up, confirming and reviewing appointments for current and potential clients. Prepares for client meetings ensuring that prospectuses and marketing materials are up to date. Performs Pre-Call planning such as Signature Card update, Account Review and Client Opportunity
- Runs reports to help Relationship Managers and Financial Advisors understand sales opportunities, and work with several business software applications to support clients and team
- Provides on-line banking set-up assistance to clients
Private Wealth Management Associate
11/2012
-
04/2017
Boston, MA
- Perform mailings or mail merges for sales campaigns to support team and market
- Receives wire requests and transfers to Operations Associate; Receives ILOC/HELOC advance or pay down requests; Performs internal transfers via TouchPoint Sales Service (TPSS)
- Performs mailings or mail merges for sales campaigns to include Invites / WFA & RM Transition Letters and other items
- Identifies opportunities for cross-sell on specific products: online banking, debit cards, etc. Provides online banking set-up assistance to clients
- Assists in business development at the direction of the FA such as: meeting with existing or new prospects, contacting existing client base to review current relationship, planning and coordinating marketing campaigns/business development seminars and meeting with internal departments to discuss joint business initiatives
- Demonstrates capacity to quickly adapt to proprietary software. Ability to advocate for the customer, build relationships, collaborate, embrace diversity and inclusion, engage and develop, establish trust, and innovate. Operates with integrity and a strong ethical focus
- Develops customized presentation materials and manage performance measurements for existing accounts in order to attract new clients
- Collaborates with the Private Wealth Advisor in developing overall business plans and marketing strategies by independently targeting prospective clients and create/plan the content of seminars
Wealth Management Associate Analyst
04/2009
-
10/2012
Los Angeles, CA
- Initiates, organizes, promotes and sets up seminars for clients and prospects on behalf of the Private Wealth Advisor
- Independently develops, implements, and communicates new procedures, products and portfolio enhancements to high net worth clients
- Coordinates enrollment campaigns/meetings for high net worth individuals/individual investors
- Utilizes knowledge, experience, and expertise obtained through the CFP or CFA qualification process, to lead a comprehensive discovery analysis that identifies differentiating information and variables to be used in the financial planning process
- Cultivates and develops corporate relationships
- Attends seminars or client meetings with Private Wealth Advisor and coordinates distribution of marketing presentations to clients
- Collaborates with the Financial Advisor in developing overall business plans and marketing strategies by independently targeting prospective clients and create/plan the content of seminars
Education
Indiana Wesleyan University - Cincinnati Education Center
2004 - 2008
Bachelor's Degree in Management
Professional Skills
- Excellent organizational skills with the ability to prioritize multiple tasks, projects and assignments from various individuals
- Excellent communication, organization, problem-solving, prioritization, follow-up and relationship building skills
- Strong detail, accuracy and problem solving skills
- Excellent computer skills, especially Microsoft Office applications and salesforce.com
- Excellent interpersonal, communication and sales skills
- Outstanding interpersonal, verbal, and written communication skills
- Well-developed analytical, decision making and problem solving skills
How to write Wealth Management Associate Resume
Wealth Management Associate role is responsible for organizational, events, retail, finance, credit, securities, training, integration, printing, reporting.
To write great resume for wealth management associate job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Wealth Management Associate Resume
The section contact information is important in your wealth management associate resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Wealth Management Associate Resume
The section work experience is an essential part of your wealth management associate resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous wealth management associate responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular wealth management associate position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Wealth Management Associate resume experience can include:
- Demonstrate superior interpersonal and administrative skills
- Quickly learn new skills and business
- Work, efficiently, effectively and independently in order to see projects through to conclusion
- Experience in managing a sizeable team and delivering at pace in a pressured environment
- Experience in the Israeli market – including language, cultural understanding and an already established personal network
- Investment management experience with a preference in dealing with high-net-worth individuals
Education on a Wealth Management Associate Resume
Make sure to make education a priority on your wealth management associate resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your wealth management associate experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Wealth Management Associate Resume
When listing skills on your wealth management associate resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical wealth management associate skills:
- Good communication skills for working with prospects, clients, relationship leads and team members
- Good communication skills for working with prospects, clients and team members
- Multi-tasker who can manage multiple streams of work concurrently and prioritize effectively
- Good understanding and strong interest in financial markets
- Analytical and data management skills / Proficiency in Microsoft Office applications
- Experience in the Brazilian market – including language, cultural understanding and an already established personal network
List of Typical Experience For a Wealth Management Associate Resume
1
Experience For Private Wealth Management Associate Resume
- Strong mathematical skills and detail oriented
- Demonstrated advanced proficiency with Microsoft Office
- Maintaining client relationship management software tracking and notes
- Active involvement in the client quarterly reporting process, including preparation, printing and mailing of reports
- Assist in achieving revenue goals by networking within and outside of the company for referrals and developing a book of business for investment management
2
Experience For Wealth Management Associate, Uhnw Investor Resume
- Client account maintenance, including journals, transfers, IRA distributions, filing, trades and check requests
- Process quarterly reports and billing updates
- Preparation of new money reports, including submitted checks and transferred assets
- Reconciliation and printing of tax documents
- Preparation of material and supporting documents for client meetings
- Preparation of a variety of documents utilizing Microsoft Office (Word, Excel and PowerPoint)
- Support team and achieve departmental results
3
Experience For Wealth Management Associate Analyst Resume
- Follow policies and accept supervision
- Exercise judgment and make sound decisions
- Initiate trades, wire transfer funds, reconcile holdings, bank fees, and other transaction costs
- Meet face to face with high-net-worth clients to review portfolio holdings, investment performance, and other long & short term investment goals
- Professional appearance, customer service mentality, ability to deal with sensitive personal information
4
Experience For Wealth Management Associate Regional Manager Resume
- Answer and address incoming client calls. Place outgoing calls or emails to existing clients to communicate miscellaneous messages. Be the “first call” for many clients
- Prepare customized charts, graphs, tables and other visual aids to be used in client meetings
- Draft agendas, generate reports, review and update client information for client review meetings
- Process, reconcile and communicate the successful completion of all client requests and transactions, such as account establishment and account transfers and recurring deposits and withdrawals
- Attend and participate in client and prospective client meetings
- Attend and participate in team meetings and trainings
- Prepare and maintain documents and client files in accordance with rules and regulations
5
Experience For Global Wealth Management Associate Development Analyst Resume
- Process trades (buy/sells) and cost basis adjustments
- Assist in the development of comprehensive financial plans and formulate preliminary recommendations to review with lead advisors
- Use various tools (e.g., Black Diamond, eMoney Advisor, Morningstar, CRM) to research and provide investment portfolio and insurance analysis and for prospects and clients
- Research miscellaneous topics as requested
- Consistently follow procedures to be compliant with industry regulations
- Continually monitor clients' financial investment portfolios to provide updates and progress reporting, rebalancing of asset allocation model and implementing of recommendations for portfolio rebalancing
- Business experience of 3 or more years in the Wealth Management or Financial Services industry
- Prepare & facilitate reports for Senior Advisor for client review meetings
6
Experience For PWM Wealth Management Associate Resume
- Use various tools (e.g., Black Diamond, eMoney Advisor, fi360) to research and provide investment portfolio, life & disability insurance analysis for prospects and clients
- Implementation of the Bank’s various CIO teams’ views to ensure the bank's best investment thinking is reflected consistently in our clients’ accounts
- Provide high quality service to UHNW Private Banking clients
- Monitor accounts for model drift and strategy deviation across asset classes and rebalance portfolios when required
- Recommend solutions tailored to clients’ specific needs
- Manage daily client transactions and inquiries accurately, within established deadlines
7
Experience For Private Wealth Management Associate Private Banker Resume
- Research, follow-up and resolve client inquiries through effective interaction with clients, bankers, portfolio managers, product specialists, operations areas, and other staff in a timely and professional manner
- Identify cross-sell opportunities, and escalate to bankers and product partners
- Preparation of new account applications, account transfer forms and other paperwork associated with new clients
- Demonstrations of ethical and professional standards as outlined by the Firm
- Advisory and brokerage accounts trade execution and daily control over trade settlement
8
Experience For Wealth Management Associate Resume
- Contact point with Supervisory Management, Risk Management and Investor Support teams
- Direct contacts with Asset Class Leaders desks on transactional matters
- Team liaison with Operations and Client Service Specialist teams
- Support Investors Analysts in preparing, reviewing and approving Investment Performance review presentations for Investors to deliver to clients. Assisting in development of marketing pitches and investment ideas presentations
- Maintaining risk management monitoring of the portfolios for investment purposes, regulatory purposes and other compliance issues. Review brokerage trades (compare paper blotter to trade blotter daily). Monitor exceptions and work with Investors to conduct 'what-if' scenario based analysis
9
Experience For Private Wealth Management Associate Resume
- Documentation management (Alternatives, Suitability, Investment Parameters, OTC etc.)
- Interacts with partner areas to coordinate daily client activity, oversees transaction processing, handles inquiry resolution, and obtains appropriate documentation. Communicates information on aspects of a client relationship to other partner areas
- Maintains an understanding of relevant tax laws and legal requirements applicable to the trust administration in order to assist in resolving client issues as they relate to the trust agreement
- Keen to serve the client through a team approach, drawing upon the know-how of other experienced colleagues
- Fluent in Dutch and English, German and French are positive additions
- Fluent in English and local languages (Spanish or Portuguese)
10
Experience For Wealth Management Associate, Uhnw Investor Resume
- Learn operations, policies, procedures, regulations and compliance requirements
- Series 6 or 7, 63, 65/66, and life, variable life, health and disability licenses
- Strong knowledge of the financial services industry, specifically with banking, investment advisory and brokerages services, internal policies, procedures, and all associated regulatory requirements
- Strong understanding of the PBRM / IRM business model, needs and key drivers as well as the sales process
- Considerable knowledge of internal administrative, compliance and operational procedures
- Build up a client book from your own network of wealthy individuals
- Come up with new ideas how to best attract prospective clients in your market
List of Typical Skills For a Wealth Management Associate Resume
1
Skills For Private Wealth Management Associate Resume
- Experience in the Financial Services and/or Banking industry
- Five or more years of investment and banking industry experience
- Experience with Schwab Institutional, eMoney Advisor, Microsoft Dynamics, Black Diamond, or other financial planning, investment advisory or CRM software tools
- Keen to serve the client through a team approach, drawing upon the know-how of experienced colleagues
- Comply with all regulations, policies and standards, contributing to an effective risk culture
- A networker and a skilled relationship builder at heart (the one starting a conversation at a cocktail event)
- Strong knowledge of markets, securities and investment strategies
- Seven or more years of experience in the financial services industry preferably with the Affluent segment
2
Skills For Wealth Management Associate, Uhnw Investor Resume
- Multi-task, manage pressure, prioritise and remain detail-oriented
- Five or more years of administrative support experience
- Flexible demeanor with a strong team orientation and can adapt to change
- Wealth and Money Management experience
- A networker and a skilled relationship builder at heart
- Experience with the policies, processes and procedures of the brokerage and
- Business experience of 3 or more years in the Wealth Management, Tax or Financial Services related industry
- Creating and maintaining consistency regarding documents review cross markets
- Scanning & Filing of Client Documents and Meeting Notes into Client Electronic Files
3
Skills For Wealth Management Associate Analyst Resume
- Participating in ongoing learning and development to enhance support of PWAs’ business
- Preparing for client meetings and follow-up
- Coordinating with Wealth Management Partners/Specialists
- Maintaining referrals and client management systems
- Sending out market commentary
- Completing special mailings such as promotional mailings, Christmas cards, client letters, etc
- Assisting with client on-boardings
4
Skills For Wealth Management Associate Regional Manager Resume
- Assisting other team members with administration
- Working toward, or ability to obtain CFP ®
- Outstanding record of extracurricular and/or entrepreneurial achievements
- Working as a partner with the integrated team (Bankers, Investment Advisors, etc.)
- Provides assistance in managing the Denver office, from maintaining the Ascent image and brand to ordering supplies, etc.
- Assist with marketing (website maintenance, assisting with events and responsible for marketing material)
- Knowledgable regarding tax avoidance strategies, estate planning, establishing trusts, and portfolio management
- Supports the Regional Managing Director and members of the team as requested
- Support team with ad hoc projects related to market research, marketing efforts, trend/performance analysis, and operational efficiency
5
Skills For Global Wealth Management Associate Development Analyst Resume
- Responsible for handling all client communications
- Sound understanding of KYC/AML fields
- Keen to serve the client through a team approach, drawing upon the know-how of other specialists and senior management
- Interact with clients to support all aspects of their servicing needs related to the management of their relationship
- FINRA Series 7, 63 and California Life and Health Insurance Licensing
- Possession of or willingness to obtain series 7 or 6, 63, 65, life and health insurance licensing within 180 days of start date
- Develop to become a successful client advisor through our training program
- Develop to become a successful Relationship Manager through our training program
6
Skills For PWM Wealth Management Associate Resume
- In depth market knowledge in Spain with a convincing network of High Net Worth Individuals
- Build up a client book from your own existing network of wealthy individuals in Colombia
- In depth market knowledge in Colombia with a convincing network of High Net Worth Individuals
- Build up a client book from your own existing network of wealthy individuals in the Middle East
- In depth market knowledge in the Middle East with a convincing network of High Net Worth Individuals
- Build up a client book from your own existing network of wealthy individuals in the Netherlands
7
Skills For Private Wealth Management Associate Private Banker Resume
- In depth market knowledge in the Netherlands with a convincing network of High Net Worth Individuals
- Provide investment portfolio analysis and financial advice regarding Estates, trusts, investment holdings (equities, mutual funds, and bonds)
- Assist the Financial Advisor with executing the investment strategy to best acheive their client's goals
- Monitor deposits/withdrawals and cash balances daily, rebalancing the portfolio as necessary to accommodate the changes in cash position
- Business Service Manager and a dotted line to the Group Director
- Complex Business Service Officer and a dotted line to the Business Service Manager
- SunTrust is only able to consider candidates that are permanently eligible to work in the United States
8
Skills For Wealth Management Associate Resume
- Securities Industry Essentials (SIE)
- Life, Health & Variable
- Collects and interpret data to produce reports, conduct special projects, coordinate meetings, conferences, presentations, travel and expense management, compose correspondence and other documentation as needed
- Host clients while managing event planning and execution
- Manage client account operations and assist clients with required documentation and thoroughness
- Regular and proactive contact with clients and prospects regarding; new account documents, LOAs, account updates, checks and wires, transfers, statement inquiries, research and fees
- Contribute to resources allocation by market based on agreed priorities
9
Skills For Private Wealth Management Associate Resume
- Fluency in English mandatory / fluency in Spanish or any other European languages would also be a strong advantage
- Self-motivated, upbeat and “can do” attitude with strong work-ethic
- Oversee the documentation updates production process
- Draw up a production schedule
- Draft a timescale for the process
- Implement quality-control sample checks
- Work closely with members of the legal department and other control functions (e.g., Compliance and Risk) with the view to implement Best in Class processes
10
Skills For Wealth Management Associate, Uhnw Investor Resume
- Align the knowledge, processes and practices cross markets
- Responsible for team’s Service Plan
- Comfort with high pressure situations, tight deadlines and ambiguity/uncertainty
- Results-orientation - take initiative to identify areas to add value and execute quickly and accurately
- Fluent written and spoken English required, French an asset
- Obtain Series 6 or 7, 63, and life, variable life, health and disability licenses within 180 days of hire
- Fluent In Spanish and/or Portuguese, proficient level of English, PowerPoint and Excel expertise required
- Deep knowledge of the different structures open within the Wealth Management industry
- Series 7, Series 63 and 65/or 66 registrations and life, variable life, health and disability insurance
List of Typical Responsibilities For a Wealth Management Associate Resume
1
Responsibilities For Private Wealth Management Associate Resume
- Build up a client book from your own existing network of wealthy individuals in Africa
- Basic knowledge of income taxes
- Intermediate knowledge of investments and retirement vehicles
- IL Life and Annuity License
- Become registered as an Investment Adviser Representative (Series 65)
- Series 6 or 7, 63 registrations and life, variable life, health and disability insurance licenses
- Coordinates the daily account administration for personal trust and agency clients. Monitors situations to ensure prompt action
2
Responsibilities For Wealth Management Associate, Uhnw Investor Resume
- If required, obtain and maintain CFP or CFA designation
- Series 6 or 7, and life, variable life, health and disability licenses
- Create and implement a strategic client book from your own network of wealthy individuals in Germany
- Part of a club, alumni-network or done entrepreneurial activities
- Develop to become a successful Relationship Manager through our training program; reaching (or preferably exceeding) both the financial and educational targets set within the program
- Build up a client book from your own existing network of wealthy individuals in Saudi Arabia
- Continuously grow your network by referrals and by identifying new prospects
3
Responsibilities For Wealth Management Associate Analyst Resume
- In depth market knowledge in Saudi Arabia with a convincing network of High Net Worth Individuals
- In depth market knowledge in Africa with a convincing network of High Net Worth Individuals in one of our target countries (Egypt, Kenya, Nigeria, Ghana or South Africa)
- Build up a client book from your own existing network of wealthy individuals in Mexico
- In depth market knowledge in Mexico with a convincing network of High Net Worth Individuals
- Build up a client book from your own existing network of wealthy individuals in Brazil
4
Responsibilities For Wealth Management Associate Regional Manager Resume
- In depth market knowledge in Brazil with a convincing network of High Net Worth Individuals
- Build up a client book from your own existing network of wealthy individuals in Spain
- Create Mandates/Investment Parameters
- FINRA 6, 63, Life, Health
- Establish long-term mutually beneficial relationships with clients
- Proactively widen and deepen client and prospective client relationships
5
Responsibilities For Global Wealth Management Associate Development Analyst Resume
- FINRA Series 6 or 7, 63, 65, or 66 and life, variable life, health and disability licenses
- Expert knowledge of departmental operations/policies and bank products/services
- Keen to serve the client through a team approach
- A great listener to understand the client's needs
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