A Wealth Management Associate is a client-facing role, who assists in wealth management tasks. Duties and responsibilities listed on the Wealth Management Associate Resume include the following – improving and streamlining the service model and operational procedures for the team, coordinating resolution of complex issues and concerns received from the client; identifying practice management opportunities through various firm channels, establishing and cultivating relationships with new clients and solving concerns, providing support on products and services, utilizing financial planning tools to analyze complex financial information and leading client planning presentations.
Summary of skills that highlight a resume includes – financial industry and product knowledge, effective written and verbal communication skills, knowledge of applicable compliance rules and regulations and firm policies, and the ability to work independently. A college degree or a professional certification is required.
Summary : Driven and passionate about language and education with a variety of experiences at home and abroad. Draws on an education in linguistics and foreign language, classroom experience with children and teens, and an advanced knowledge of Spanish to facilitate communication and assist learners of all types.
Skills : Technical Skills, Microsoft Office.
Description :
Provided financial and investment solutions to existing clients resulting in new assets under management.
Managed a $150 million investment portfolio of High Net Worth relationships.
Effectively communicated complex financial information to clients with a range of $5 to $50 million in investable assets.
Generated new business from an existing client through superior portfolio management service, including increased portfolio performance and lower overall fees for the client.
Effort motivated the client to consolidate their entire portfolio of $2 million in assets to CBIZ increasing account revenue by $20,000 per year.
Analyzed and compared client's old under-funded insurance policies to current market place products which resulted in designing a plan that guaranteed the client's death benefit past age 100 rather than lapsing at age 80 for the same premium dollars.
Practiced sound financial planning for existing client through extensive fact finding and client interviews to determine if this small business owner could convert their traditional IRA to a Roth IRA in 2010.
Experience
10+ Years
Level
Senior
Education
Bachelor Of Business Administration
Wealth Management Associate Resume
Summary : Managing and Monitoring sales efforts daily to ensure goals are being met consistently, while reporting to senior management with various business proposals with regards to sales cycles, and also Resulting in the client transferring $1.3 million to CBIZ for management.
Skills : Accounting, Client Service.
Description :
Worked with a team of wealth advisors, and trust officers to initiate sales cycles and grow accounts with new and existing clients with $2M liquidity and/or $5M and plus net worth.
Served as a main point of contact for all client requests and account needs, while supporting and overseeing a portfolio of over $50M Work with Trust officers to conduct day-to-day trust transactions, legal filings, and court accountings.
Drafted, prepared and submited annual account statements of trust transactions for compliance with local courts for annual audits.
Created and conducted client presentations with financial planners to discuss service solutions Ensure files and documents are in compliance with FDIC and SIPC regulations as well as the BB&T policy.
Generated balance reports and monitor transactions to ensure adequate account funds for on-going business.
Generated quarterly discretionary distribution reports for upper management compliance and approval.
Coordinated and participated in annual Wealth Clientele events to maintain, network, and strengthen relationships.
Experience
7-10 Years
Level
Management
Education
B.S In Finance
Wealth Management Associate Resume
Headline : Results oriented finance professional with extensive experience in wealth management, mortgage lending, customer service, and sales. Expert experience in financial planning, cost reduction, and performance/profit improvement. Outstanding experience in maintaining a large retained portfolio for mortgage lending, clientele for wealth management, a large volume of sales expectations, and excellent customer service and professional courtesy.
Provided customer service to over 200 high net worth asset management clients across Asia.
Handled investment and insurance applications and new business processing.
Prepared portfolio reports, quarterly performance reports, basic financial statements, and other client deliverables.
Monitored systems and troubleshot errors in billing and reporting.
Worked closely with a variety of third party custodians including Schwab, Fidelity, Credit Suisse, and Interactive Brokers.
Independently managed the workflow for life and critical illness insurance business, including assisting with medical and financial underwriting.
Assisted with audit preparation and the implementation of procedures according to FINRA and SFC guidelines.
Experience
5-7 Years
Level
Junior
Education
B.A.
Wealth Management Associate Resume
Summary : Wealth Management Associate professional with 10 years of success in financial reporting, analysis, and project management. Focusing on improving the securities market by fostering trust and cultivating partnerships based on financial accountability and transparency.
Supported business operations through analysis of key performance indicators and trends.
Performed forensic accounting by tracing assets, cash flows, and transactions; reconstructed financial books and records; gathering evidence; reviewed and compared source documents; performed research and calculations; briefed findings to CPA and Financial Advisor.
Inculcated deep client relationships, delivered financial plans, proposals and strategies and responded to complex client complaints and questions; result was a 2% spike in assets under management and 8 referrals.
Cultivated strategic relationships with CPAs and legal officers to create ongoing and mutually beneficial referral systems; led nationwide revenue statistics by establishing revenue sharing partnerships.
Evaluated candidates for mortgage and loan potential--critically enabling Senior-level Private Bankers to facilitate complex loans, securities based lending, Portfolio Loans Accounts, Tailored Lines of Credit, and Express Credit Lines.
Devised strategies for institutional and private client cash flow and liquidity objectives.
Negotiated competitive lending rates for loans and lines of credit; managed pro forma for account set up, outgoing wires and interest payments; maintained sufficient account collateral and provided solutions for margin calls.
Experience
10+ Years
Level
Senior
Education
MS
Wealth Management Associate Resume
Objective : Career-focused professional seeks a position where strong analytical and communication skills will contribute to the company and profitability. Possess a passion for finance with an emphasis on quality, integrity, and professionalism. Strong organizational and time management skills with the ability to communicate with a diverse range of staff and clients.
Skills : Microsoft word, Spanish Speaking.
Description :
Participated in development of commercial banking relationships through daily communications and interface with clients, other financial institutions, and internal departments.
Acted as liaison between clients and loan officers to facilitate account servicing.
Researched and coordinated resolution of account issues related to overdrafts, returned items, stop payments, etc.
Coordinated report distribution and file management.
Trained new employees in all aspects of Wealth Management, monitored their progress, and oversaw workflow.
Provided guidance for inquiries regarding transactions, account status, and operational issues.
Coached new trainees in areas of customer service, policies and procedures, morale building, and teamwork.
Experience
2-5 Years
Level
Executive
Education
MS
Wealth Management Associate Resume
Summary : A creative support professional with a record of increased responsibility. 19 years experience in prioritizing and completing tasks in a timely manner, yet flexible to multitask when necessary. Customer-focused with diverse industry experience including non-profit and retail.
Skills : MS office, Creative Skills.
Description :
Worked with clients to ensure proper account opening procedures and documentation.
Provided account information to clients and Financial Advisors.
Proactively resolved client issues and concerns.
Performed general clerical duties, such as handling telephones, client mailings, filing and processing forms.
Placed customer orders in brokerage and advisory accounts.
Created spreadsheets and other financial reports.
Created process for reviewing account activity to prevent and/or minimize client debit balances.
Experience
10+ Years
Level
Senior
Education
MS
Wealth Management Associate Resume
Objective : Analytical and performance-driven professional with diversified experience in financial services. Over three years of Sales and Clients Service experience. Excellent interpersonal, oral, and written communication skills, with the ability to manage multiple tasks and assignments simultaneously and effectively.
Skills : MS Office, Management Skills.
Description :
Supported senior management and a sales team with a client book of business exceeding $12mm.
Conducted sales and service meetings with potential and existing clients.
Supported clients to define investment objectives, construct portfolios and allocate assets investment vehicles including, insurance, annuities, mutual funds and stocks.
Provided strategic quantitative models to high-net worth clients.
Utilized Professional Workbench for financial illustrations.
Assisted in marketing initiatives, including, newsletters, print ads, networking events and email blast.
Attended professional seminars; ie: AML/KYC compliance, estate planning, new business on boarding etc.
Experience
2-5 Years
Level
Executive
Education
B.S. In Business Administration
Wealth Management Associate Resume
Summary : To obtain employment in which I can use my acquired professional skills and administrative experience within a company that offers the opportunity to gain knowledge, experience, and judgment necessary for advancement within that company.
Skills : Series 7, Series 66, Not, Notary Public.
Description :
Knowledged of SEC and FINRA Regulations.
Created procedures to deliver reports to clients.
Standardized customized client reporting utilizing Excel spreadsheets and charts.
Reviewed resumes, scheduled candidates for site visits, and interviewed potential new hires.
Coordinated the onboarding process for new department hires with information technology, human resources, and sales for a smooth transition.
Gathered, collated and briefed visualized documentation for claims concerning consumer litigation & class action cases.
Managed the team's marketing campaigns, designed direct marketing material, website and branding of electronic communication.
Experience
10+ Years
Level
Senior
Education
BBA In Finance
Wealth Management Associate Resume
Objective : A Wealth Management Associate position utilizing my skills and experience in the financial industry with a dynamic company offering a path for advancement. Demonstrated strong aptitude for problem-solving. Established organization to meet tight deadlines and direct multiple priorities. A detail-oriented and adaptable achiever who works well within teams.
Coordinated, collaborated and facilitated the preparation of retirement plan presentation to wealth advisors for their commercial client meetings.
Contributed to client service items and money transfers on a daily basis.
Provided wealth advisors with assistance on quarterly mutual fund commentary, top holdings in funds, and completed quarterly fund watch list.
Prepared account review and termination forms following the bank policy.
Participated as Committee Member to oversee compliance with Federal Banking laws including Bank Secrecy Act, and Anti Money Laundering.
Supported the client service duties while transitioning to new position.
Recruited new clients and managed existing client relationships for the VP of Wealth Management, as part of a strategic organizational team that guided investment strategies for high net worth investors.
Experience
2-5 Years
Level
Executive
Education
Diploma
Wealth Management Associate Resume
Headline : Dedicated, energetic veteran, my drive is the success and satisfaction of my clients, my company, and myself. A proven leader, organized, and responsible in all tasks undertaken. Relationship builder and sustainer. Exceed deadlines, and take initiative to solve problems at their root.
Facilitated customer transactions for client accounts serviced within the securities, equity investments, and stock options portfolios on an international level.
Developed customer relations through problem solving and building rapport.
Upheld compliance and internal procedures to minimize risk and for the early detection and prevention of fraudulent activity.
Completed training necessary to take the FINRA Series 7 & 63 exam.
Served as a link between the customer and their Financial Advisor.
Communicated daily with participants using the Live Chat System.
Assisted Chase Private Client financial advisor with $275M in AUM.
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