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- 3099 Argonne Dr Xxxxxx, XXXXXX xxxxxx ( (xxx-xxx-xxxx * firstname.lastname@example.org
Financial Services ▪ Wealth Management ▪ Trust Administration
Self-assured, dynamic, and results-driven management professional with more than 11years providing high-performance client service in wealth and investment management in the capital and financial services sectors.
- Proven dedication to process efficiencies in delivering outstanding customer service in building wealth while maintaining a solid reputation for financial service successes for the company.
- Detail-oriented, analytical and methodical with critical thinking to resolve work issues even under stress.
Well-orxxxxxxnized with multitasking and prioritization skills that optimize resources to achieve outstanding results.
Strong people management and interpersonal communication skills that inspire confidence across diverse ethnicities.
Financial Service Management
Fiscal & Budget Management
Trust Fund Management
Business Operations Management
Relationship Management (Clients, Stakeholders, & Suppliers)
Customer Service Management
Staff Supervision & Training
Policies & Regulatory Compliance (i.e., SEC, UPIA, & Sarbanes-Oxley, etc.)
Lexxxxxxcy Capital Advisors Xxxxxx, XXXXXX
Provided strategic direction in managing sales, financial planning, and business development, creating and executing business networking, and marketing strategies that grow customer base and revenues in target markets.
Identify and address client financial goals, evaluating current financial status to build a suitable financial growth roadmap in investments, estate planning, educational savings, insurance and debt management.
Build sustainable working relationships with clients and business partners, leveraging knowledge in investment products, market trends, and compliance to achieve cost and efficiency advantages in daily business operations.
Oak Spring Farm, Private High Net Worth Family New York, NY
Managed the finances of a high net worth family, maintaining inventory records of hundreds of family art pieces totaling over $400M, reviewing and archiving associated documents, ensuring proper listing of art pieces in trust, testamentary documents, and in Sotheby s auction materials.
U.S. Trust, Bank of America Xxxxxx, XXXXXX
Provided compliance oversight of over 1,500 trusts with a total of over $1B in assets, conducting fiduciary reviews of beneficiary distribution requests, ensuring compliance with UPIA investment requirements and reviews.
Identified client needs and provided solutions, building sustainable professional relationships that created confidence in recommended financial solution, and collaborating with co-trustees in managing investment and fiduciary matters.
Monitored trust accounts to ensure proper compliance with OCC Regulation 9 and internal policy requirements.
Bank of America Xxxxxx, XXXXXX
Responsible for risk management oversight on over 1,200 trusts with over $1B in aggrexxxxxxte assets.
Performed annual fiduciary OCC Regulation 9 compliance reviews. Evaluated factors such as risk allocation and specialty assets to ensure compliance with prudent person investor standards.
Calculated annual UPIA incomes, completing annual UPIA investment reviews, and ensuring enforcement of UPIA notifications and regulations .
Education & Credentials
Juris Doctor, VERMONT LAW SCHOOL, South Royalton, VT (2005)
Bachelor of Arts, UNIVERSITY OF DENVER Denver, CO (1994)
Professional Training, Certification & Licensure
Certificate in Financial Planning, Terry College of Business, University of Xxxxxx, Xxxxxx, XXXXXX (2012)
Series 7, Series 66, Licensed Insurance Representative (life, health and disability)
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