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Investment Associate Resume Samples
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0-5 years of experience
- Developed and executed asset allocation strategies for ultra-high net worth investors in a $2B book of business for 4 portfolio managers ($38B in firm AUM), including directing workflow for junior staff.
- Created a new compliance/risk initiative that resulted in an 83% reduction in outstanding compliance
- Managed portfolio analytics for $4B in internal equity strategies and provided insight on various aspects of strategy performance and risk.
- Performed individual stock coverage, including maintaining equity models, providing quarterly updates, and monitoring relevant information across a variety of industries and capitalizations.
- Created client-facing pitch books and meetings materials, along with extensive writing on industry analysis and research for external white papers.
0-5 years of experience
Increased branch investment revenue by 63% from $27,749 in 2015 to $45,330 in 2016.
- Utilized consultative selling approach to effectively communicate concepts, tools and techniques; efficaciously transmitted, received, and accurately interpreted ideas, information, and needs through the application of appropriate communication behaviors.
- Actively participated in the achievement of branch revenue goals and exceeded individual goals in every category
- Provided ongoing coaching to bank employees to effectively identify referral opportunities, host weekly branch sales and compliance jumpstart meetings
0-5 years of experience
- Drove new household acquisition and investment revenue for PNC Investments in the Ann Arbor area resulting in $750,000 in new assets invested.
- Identified prospects for PNC’s Wealth Management division leading to $1.1 MM closed deal, first and largest closed deal from the Detroit region’s Financial Specialist team in 2016.
- Managed client experience end-to-end; handled service, identified sales opportunities and referred as appropriate.
- Organized Financial Well-Being day focused on Long-Term Care insurance in September 2016, building insurance pipeline of $600,000 for Financial Advisor partner.
- Coached branch staff on PNC sales conversation model for client interactions and outbound calling efforts, ramping branch up to meet weekly outbound calling and appointment setting goals.
0-5 years of experience
- Work to develop relationships for PNC Investments and PNC Wealth management by consistently leading the branch team in self-sourced referrals for 2014, 2015 and 2016.
- Achieved 100% of investment revenue goals for 2014 and 2015.
- Develop customized financial plans using the six step financial planning process to achieve new investment asset goals for 2014 and 2015.
- Maintain a 5 star Gallup poll rating for customer satisfaction for 2015 and 2016.
- Hold highest certification in PNC consultative sales process and employee coaching.
0-5 years of experience
- Comprehensively analyzed portfolios comprised of equity, fixed income, and alternative investment holdings to generate increased efficiency through mean-variance optimization and style diversification.
- Established dynamically managed portfolios that endorse tactical movements between asset classes while simultaneously maintaining a constant
- Generated and presented holistic financial plans, that utilized Modern Portfolio Theory coupled with Monte Carlo simulations in order to produce and implement goals-based wealth management solutions.
- Analyzed global financial markets and key macroeconomic variables to assess and evaluate the correlated influence on asset classes, industries, and investments.
- Developed deep insight into underlying root forces, variables, and trends that influence, control, and ultimately affect asset classes and securities.
0-5 years of experience
Support two financial advisors overseeing $300MM in AUM with $1.6B in the pipeline.
- Research into various asset classes and create client presentations with detailed oversight of client affairs.
- Strengthen client relationships by actively communicating clients on behalf of advisors to deliver investment recommendations, resulting in client royalty and trust.
- Improve efficiency in handling client deliverables by leveraging in-depth knowledge of investments, bank products, and financial planning tools on daily basis.
0-5 years of experience
- Researched the potential factors that contribute to final profit in private placement of public companies by implementing statistical methods in RStudio
- Utilized Informational platforms to collect financial and Macroeconomic information about the target company to prepare for the meetings
- Designed the investment plan for clients according to their financial needs, business line and marketing strategy
- Applied SWOT, PESTEL or Michael Porter’s Five Forces Model to estimate upside potential of the target company
0-5 years of experience
- Focus on selling financial services products, including but not limited to Reg. D private equity, and Complex & Alternative investment products
- Drive business growth through aggressive sales initiatives
- Developed and maintained sale pipeline, grew relationships and sales volume
- Established high net worth accounts and developed client loyalty
- Conduct targeted cold calling, prospecting web search, and e-mail campaigns to find prospects resulting in new accounts
0-5 years of experience
- Provided supportive investment consulting services for institutional client relationships
- Led quarterly client reporting including written investment and total plan analysis
- Conducted research on investments, custodians and recordkeepers to enhance client investment programs including plan design, fees, operations, etc.
- Performance calculation for client portfolios
- Played a key role in numerous integration projects surrounding the acquisition of prior employer
0-5 years of experience
Sole portfolio management of $300M in assets
- Manage domestic and international enhanced indexing investment strategies as well as various fixed income portfolios.
- Investment strategy management and development of asset allocation strategies
- Provide commentary and research and assist with marketing efforts
- Monthly publication of wealth management newsletter and weekly “investment minute” video update for various [company name] websites.
- Foster client relations
- Investment analytics and product development
0-5 years of experience
- Partner with a team of Portfolio Managers in providing integrated investment advice and portfolio management services to high net worth clients.
- Create asset allocation studies utilizing data collected in the client profiling process; verify/test assumptions and constraints; confirm findings through iterative ratification process with the PM.
- Recommend investment allocations and portfolio diversification
- Monitor portfolio asset allocations to ensure they remain within acceptable target
- Handle trade order entry for portfolio transactions and administration of custody account trades and performance.
- Review and discuss Reg 9 exceptions with PM and implement strategy for resolution.
0-5 years of experience
- Series 6 license
- Provide basic investment guidance to help clients understand their account or mutual fund functions along with standard IRS requirements for certain accounts
- Offer assistance to new and seasoned investors regarding administrative or technical issues
- Vet calls to proper departments to ensure all transaction and/or maintenance needs are met
- Follow up with clients in emergency situations to enhance service and problem resolution
- Understand mutual funds, they’re qualities/functions and their goals
0-5 years of experience
- Supports senior advisors to recommend solutions from various lines of business to meet the investment needs and objectives of the high net worth clients.
- Performs complex maintenance requests, assist clients with trades, research and problem resolutions.
- Exercises knowledge of risk management and loss prevention for 500 relationships with over $200 Million in asset.
- Implements and monitor portfolio investment plans.
0-5 years of experience
- Critical member of advisory team managing $750 million in assets under management for ultra-high net worth, high profiled individuals, family offices and foundations.
- Established, managed and maintained relationships with our largest known clients by serving as a liaison between the advisor and the clients on a daily basis.
- By ensuring that both client needs and the needs of the advisor are met satisfactorily, I increased productivity by creating an efficient and timely workflow.
- Functioned as main point of contact for all market, trades and strategic/tactical asset allocation inquiries.
- Executed all fixed income, equity and options trades for entire client base, which totaled approximately 80 households.
- Reconciled all prior day’s trade activity and process trade corrections, where applicable.
- Provided clients with monthly, consolidated asset allocation reports in order to rebalance client portfolios to be aligned with both the firm’s and the client’s strategic asset allocation frameworks.
- Processed client wire and stock transfers and monitor the cash balances across all accounts.
- Created the J.P.Morgan Securities “eForms Gallery” within the firm’s intranet, allowing easier access to forms and more consistency in obtaining correct documentation; which streamlined immeasurable methods that saved myself and the advisor much time and helped him to increase his profits substantially.
- Once “eForms Gallery” was launched, it was such a success that this database is currently being used across the entire J.P. Morgan Stanley National Platform
0-5 years of experience
- Registered Representative holding FINRA Series 7 and Series 63licenses.
- Specialize in fixed income securities with a primary focus on municipal bonds.
- Provide investment advice to prospective clients of the team.
0-5 years of experience
- Evaluate financial, industry and company trends for valuation of publically traded companies
- Analyzed and built Excel models to value MobileEye
- Competed against 33 Chapters in the Pitch Competition, designing a theoretical business and presenting it to a team of business professionals
0-5 years of experience
- Research and resolve complex and sensitive questions and problems.
- Gather appropriate data needed for the account to be accurately reviewed.
- Update and prepare presentation material for client meetings.
- Monitor cash levels for investment accounts and makes recommendations to investment manager.
- Complete trades in client portfolios as recommended by Investment Strategists.
- Monitor maturity report and makes recommendations to investment manager with proceeds resulting from the maturity.
- Monitor asset allocation and assets in accordance with the investment policy committee.
- Inform internal and external clients of new and existing investment products and services.
- Update and maintain investment bulletin boards.
- Apply knowledge of performance statistics and other analytical techniques to review investment
0-5 years of experience
- Keep abreast of industry figures, including distribution and audience figures.
- Monitor buying strategies.
- Monitor and optimize effectiveness of campaigns.
- Build relationships with media sales companies.
- Negotiate rates with media sales companies to obtain most competitive prices.
- Find a combination of media that will enable the marketer to communicate the message.
- Buy advertising space on different mediums that work best for clients.
- Collect information about the kinds of audiences that can be reached by the different media and the approximate size of those audiences.
- Use a combination of several different kinds of media to reach different audiences.
- Prepare advertising schedules.
0-5 years of experience
- Develops relationships with clients to understand their unique investment needs and position appropriate solutions.
- Partners with colleagues to create visual communications for my current team as well as our business partners to provide detailed analysis in order to drive business results.
- Serves as mentor and leads incoming new hires and contractors in order to successfully perform their daily job tasks.
- Gains experience throughout other areas of Vanguard to gain better understanding of company business strategy.
- Departments shadowed include: Investment Management Group, Financial Advisor Services, Personal Advisor Services, Fund Financial Services and Business Development Group
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Investment Associate
Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
