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Yyyyyy x. yyyyyy
2045 Haydenbrook Dr. NW | Acworth, GA 3010xxx-xxx-xxxx | abc@xyz.com
Driven, customer-focused and highly talented Financial Services Professional with years of proven experience in various areas client services capacities within the finance sector. Able to align personal goals with organizational objectives in order to achieve success. Call on strong attention to detail in operating within governing policies and procedures respective frameworks. Skilled in promoting a positive company image rooted in loyalty and commitment. Adept in thriving within a team environment or independently. In pursuance of a Registered Client Associate or Sales Assistant opportunity that will allow for leverage of current skills and deliver opportunities to provide first-class customer service to a diverse client base.
Core Competencies
Service Delivery | Wealth Management | Communication | Relationship Building | Client Satisfaction | Critical Thinking | Leadership Analytical Skills | Problem Solving | Cross-Functional Teamwork | Stakeholder Engagement | Organization | Time Management
Experience
FIDELITY BANK WEALTH MANAGEMENT
Client Specialist 2017
On-boarded to oversee Wealth Management Division functions; delivered administrative and operational support for 10 Client Advisors on the Managed Investment Account Platform
Aided in all aspects of recruiting clients and maintaining their respective accounts; reviewed all new account documentation via Sawtooth to confirm completeness and accuracy
Tracked relationships at all stages from prospect/lead through to completion of booked business
Worked with clients to assist with online account access setup and usage inquiries as needed
Replied to informational requests from accounting partners during tax season; provided forms to Auditors and Examiners
Served as an effective intermediary between Client Advisors and the back office
o Relied to general inquiries and resolve technical issues; offered Advisors market updates from Investment Managers as well
o Engaged actively in important meetings to master new procedures and share knowledge with Client Advisors
Partnered with Trust Officers to deliver support during Trust Account opening processes
Manually prepared client account documents that required special handling independent of electronic processes
Liaised with branches to transition funds between bank and Managed Investment accounts; submitted all transferal paperwork
Submitted investment instructions for account allocation to review for accuracy; reviewed accounts that were 70% funded
Processed ACH transfers, checks and federal wire transfers; also set up fee billing processes as well
Prepared client correspondence and reports including presentations and proposals; kept hard copy and electronic files
Crafted weekly production and monthly referrals spreadsheets, for use during Trust Committee Meetings
Efficaciously reviewed and updated documents using new branding standards
Used numerous systems daily including AS400, Global Office, Investorsview, ORION, Salesforce and Microsoft Office
LEHMAN BROTHERS/BARCLAYS
Registered Client Service Analyst - Training Coordinator
Council Member and Coach Fitness Center 2012-2015
Nominated to serve in mentoring roles as a legacy Lehman employee; unofficially served in that capacity since 2008 due to expertise, background and skill in mastering new concept and sharing data with the utmost in confidentiality
Partook in off-site and web-based training, as well as telephone and video conferences geared towards learning new products and services in which to train colleagues within the branch
Named Training Coordinator due to acumen as it pertained to both Lehman and Barclays processes; educated new teams including IRs and CSAs during their on-boarding processes
Trained individuals and groups on proprietary products and website, as well as wire transfers, ACATS, checks, journals, reporting and account opening using training schedules that fit the specific business model of teams
Succeeded in opening hundreds of accounts for new teams in addition to delivering comprehensive trainings
Guided new CSAs continually while offering consistent support to IRs; also served on the CSA Council to note areas of weakness, disperse information and gather policy feedback
Yyyyyy x. yyyyyy
Continued
LEHMAN BROTHERS/BARCLAYS, Continued
Worked closely with IR Council members to resolve issues and collectively create training materials
Acted as a CSA Coach and trainer; developed quick reference guides and shared content regarding new policies and releases
Also offered holistic, useful guidance on where to obtain internal sites information
Served as the foremost contact for sales teams during its conversion to utilizing the Pershing, LLC Netx360 platform
o Participated in onsite Pershing training before the conversion and used feedback to finalize the sales force s related training
o Served as a subject matter expert (SME) during the company s conversion due to knowledge gleaned from working as a former Account Manager at Pershing, LLC
Registered Client Service Analyst 2006-2015
Offered administrative and operational support for Investment Representatives; supervised the team daily thus allowing IRs to focus on winning new AUM
Initiated client contact within a diverse customer base comprised of high-net-worth individuals, family offices and foundations
Completed intricate compliance projects as directed, both independently and as part of a group effort
Entered trades and provided quotes; also generated performance reports, authored client documents, tracked commissions/fees, tracked/allocated syndicate deals, as well as updated all client/prospect files and database entries
Liaised with Compliance, Operations, New Accounts, Product Specialists and Trading staff to encourage seamless customer service delivery focused on swiftly fulfilling client needs
Opened all new accounts in an efficient and timely fashion
Proactively identified issues and took corrective actions to research and resolve all concerns thus minimizing errors
Processed wire transfers, ACATS, checks and journals; adjusted entries for the latter as needed
Tracked commissions and fees with total accuracy and attention to detail
Called on the use of Charles River to monitor and rebalance accounts in the Discretionary IAR Program
Took appropriate action as it relates to trading, margins and processing by reviewing all daily activity to help decide which issues to prioritize in order of importance
CREDIT SUISSE SECURITIES LLC
Registered Sales Assistant 2004-2006
Opened new accounts in an efficient and timely manner
Prepared client correspondence and documents
Maintained prospect and client databases, as well as all client files with precision and accuracy
Inputted trades, provided quotes, as well as tracked and allocated syndicate deals
Headed all facets of the restricted stock process
Processed wire transfers, checks and journals
Devised performance reports; reviewed each and took appropriate action for trading, margin and processing
Completed compliance projects as assigned
Also worked as an Assistant Vice President Global Customers/Account Manager with Pershing, LLC and as an Account Representative-Prime Brokerage with Morgan Stanley Dean Witter
Education & Credentials
Bachelor of Science, Accounting, Brooklyn College
Licenses, Series 7, 63 and 66
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