Investment Specialist Resume Samples

Description :

1. Handled customer requests, complaints, basic investment inquiries, mutual fund transactions, and account maintenance.
2. Calmed angry callers, repair trust, locate resources for problem resolution, and design best-practice solutions.
3. Interfaced daily with internal partners in processing, technical support, new business, operations, and management divisions.
4. Provided investment information related to new products, regulatory issues, and new policies by identifying and conveying issues.
5. Identified customers' investment needs by basic financial planning modules; providing different investment products to attain successfully identified needs.
6. Developed alternative procedures of business development to draw new assets and attain planned goals.
7. Conducted a partnership with technical support in line with documented procedures.
8. Officially commended for the initiative, enthusiasm, tenacity, persuasiveness, intense customer focus, and dependability in performance evaluations.

Experience

5-7 Years

Level

Executive

Education

Diploma

Description :

1. Handled the processing and paperwork for the financial consultants.
2. Assisted on many issues for the financial consultants on a daily basis, ensuring that policies and procedures were followed.
3. Served as a backup to the Operations Manager as an authorized principal with the responsibility to approve new accounts and other daily requests.
4. Entered trades for financial consultants and outside money managers.
5. Responsible for all managed account billing, including invoicing the fees and also issuing checks as payment to the outside managers.
6. Worked on daily reports analyzing any potential problems and worked with the financial consultants and management to correct them.
7. Managed a book of business consisting of 150+ clients with $50 million-plus in assets under management.

Experience

5-7 Years

Level

Executive

Education

Bachelor Of Science

Description :

1. Preferred Transition Specialist Lead the end to end ownership of sales to service support for account holders and beneficiaries.
2. Managed and developed the client segment by consulting clients through inbound and outbound calls.
3. Applied expert financial planning knowledge, with specific attention to tax, law, and estate planning.
4. Responsible for detailed client profiling, consulting on financial planning and wealth management disciplines, placing trades.
5. Consisted of the top tier for call audits, asset retention, and productivity metrics.
6. Participated in training and mentoring of new hires in multiple sites through share point presentations and teleconference meetings.
7. Completed a six-month Leadership Development Program for a management role.

Experience

10+ Years

Level

Senior

Education

Finance

Description :

1. Dedicated business within Asset Management at JPM, and was responsible for both advising clients on investments.
2. Adhered to their IPS, as well as partnering with a banker to acquire new assets.
   
3. Covered most of the domestic market, and spent a good deal of traveling to visit with the existing clients.
4. Responsible for adhering to the clients IPS and managing their portfolio in accordance.
5. Worked with UNHW individuals and families.
6. Built a dedicated business to focus on Endowments, Foundations, and various not-for-profits.
7. Partnered with teams across and brought in a significant amount of new AUM.
   

Experience

10+ Years

Level

Senior

Education

B.A

Description :

1. Responsible for all investment goals assigned to six branches of Sovereign Bank New England.
2. Recognized as a regional leader in selling mutual funds, annuities, and life insurance products to bank clients and small businesses.
3. Conducted multiple seminars and investment focus days for bank clients and employees.
4. Relationship management between myself, bank employees, wholesalers, and clients enabled me to work in multiple locations.
5. Acted as a mentor for the licensed bank employee program to assist in the generation of investment referrals.
6. Developed a successful training program to effectively.
7. Recruited and retained licensed bank employees within the region consisting of more than sixty branches.

Experience

10+ Years

Level

Senior

Education

Diploma

Description :

1. Handled customer inquiries in regards to questions inference to personal, small business, and corporate accounts.
2. Provided financial guidance to customers seeking financial freedom and investment accounts for maximum profit.
3. Troubleshot with fellow co-workers to find the best solutions for their customers on any product or any situation.
4. Worked with other departments in order for the departmental goals to be reached monthly and quarterly.
5. Enhanced personal performance to exceed department goals by identifying daily time management improvement skills.
6. Increased fellow co-workers' knowledge by assisting with "pilot" teams for new and improved claim departments.
7. Provided best practices for fellow co-workers for customer engagement and relationship building.

Experience

10+ Years

Level

Senior

Education

Estetchician

Description :

1. Delivered high-quality customer service stressing client focus, product knowledge, and problem resolution.
2. Provided Merrill Edge clients with accurate account information by keeping abreast of procedures.
3. Demonstrated the ability to provide complete and concise explanations to inquiries made via incoming telephone contact.
4. Effectively resolved client questions and research requests while proactively identifying additional needs and opportunities to enhance the client's relationship.
5. Provided a point of call resolution for problems and account inquiries.
6. Accurately performed trades, money movement, and other financial requests as needed by clients while maintaining a keen focus on the client's security.
7. Demonstrated a cooperative and professional work attitude while adhering to department phone-based metrics requirements.

Experience

10+ Years

Level

Senior

Education

Diploma

Description :

1. Executed and confirmed client-initiated stock, mutual fund, options, and fixed income securities transactions in clients' investment accounts.
2. Drove business growth and capitalized on new revenue potential.
3. Provided limited research and counseling services to strengthen client relationships.
4. Effectively explained FINRA rules and regulations to clients to minimize potential violations.
5. Resolved client issues on a timely basis through effective problem-solving and investment knowledge.
6. Increased client retention and improved client satisfaction by resolving issues such as working with transfer agents.
7. Placed numerous error-free stock, mutual fund, and options transactions each day.

Experience

10+ Years

Level

Senior

Education

MBA

Description :

1. Prepared general ledger entries and month-end investment reconciliations.
2. Maintained and processed software programs for cost accounting, budgeting, and planning.
3. Assisted in the purchase and sale of investment securities, including analysis, settlement, and record keeping.
4. Monitored the maturity and call for investment securities.
5. Gathered and process data to generate and deliver monthly variance reports for the budget process.
6. Assisted in the development of strategic goals and objectives for the bank while monitoring branch performance analysis and reports.
7. Generated quarterly reports, schedule meetings, and prepare the meeting information for the Asset/Liability Committee.
8. Continued participation in an on-going comprehensive training program for awareness of compliance regulations.

Experience

5-7 Years

Level

Executive

Education

B.A

Description :

1. Performed active trade support functions for senior portfolio managers.
2. Monitored cash balances within client portfolios on a daily basis.
3. Measured risk and return characteristics of model portfolios for various investment strategies through the use of the firm's analytics software.
4. Researched market prices and traded fixed income securities under the direction of supervisors.
5. Analyzed the performance of investment strategies and pricing methods to ensure the firm was compliant with internal policies.
6. Performed allocation of block trades to individual client accounts.
7. Resolved trade errors with brokers and served as a point of contact for the firm's custodian.

Experience

2-5 Years

Level

Junior

Education

Finance

Description :

1. Retail sales analysis, reports, presentations, and recommendations for a wide range of asset classes.
2. Offered and pipe deals in biotech, pharmaceutical, and natural gas industries.
3. Due diligence researched for asset allocations and investment strategies.
4. Sales reported to clients, prospective clients, and in house team.
5. Generated led and pursued internationally accredited investors.
6. Supervised of investments; communications with clients and prospects.
7. Synchronized between several departments and clients.

Experience

5-7 Years

Level

Consultant

Education

MBA