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Investment Specialist Resume Samples
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0-5 years of experience
- Enhanced and repaired front office relationships by introducing control checks for reconciling positions and cash journals across several portfolios to reflect accurate accounting in firm’s books and records.
- Slashed processing time by 50% by implementing VBA macros and formula spreadsheets to overhaul monthly revenue and pricing reports
- Provided testing and logic recommendations for new accounting system integration
- Found unique ways to derived value for various outlier securities by leveraging I-Curve and Cash Flow models to assist in tracking monthly portfolio performance.
- Streamlined private equity monthly reporting by combining 5 data extracts into one central master data file.
0-5 years of experience
Leveraged client touch-points to build trust, translate client interests into actions, drive growth, promote corporate initiatives and build lasting rapport
- Created innovative solutions for clients to solve current and concealed problems by leveraging back-end tools and navigating multiple front-end systems
- Partnered with the Business Results Initiative team to assist in analyzing and extrapolating employee business metric data to optimize business processes
- Utilized proprietary CRM tools to analyze risk/return probability and tax efficiency of client accounts
- Promoted and enrolled prospective clients in company’s advisory services through pilot program to drive revenue growth
- Selected as Subject Matter Expert for CRM software used to support sales team
- Constructed Excel reports of monthly employee business metric data and presented findings to senior management via PowerPoint to improve techniques and distribution of reporting data
- Supplied requested information to clients via interfacing between multiple front-office and back-office database programs and applications
0-5 years of experience
- Trained and managed new agents to evaluate and underwrite prospective investment properties
- Analyzed hundreds of investment transactions for a REIT to ensure highest ROI, closing more than 500 transactions in 2014 & 2015
- Recognized as one of Houston’s top producing teams in 2014 for closing 321 transactions
- Developed relationships with property management companies, real estate investors and attended networking functions in order to create the relationships necessary to maximize the number of properties acquired
- Created a database of neighborhoods that give the highest yields on investments, allowing agents to focus efforts on areas with the highest closing rate for our investors
- Assisted in the creation of an algorithm to pull data from various databases to evaluate investments, increasing our evaluation process from dozens per day to over a 1,000 per day
- Created pro-formas in Microsoft Excel for investors to raise equity for developments, outside developers and current portfolio investors to use to help them obtain conventional and non-conventional financing
0-5 years of experience
Analyzed client portfolios and made recommendations to Portfolio Managers regarding Trust Accounts.
- Researched various investments using several investment tools such as Bloomberg, Baseline, and Firstcall.
- Prepared client presentations, investment proposals, and reviews.
- Assisted in training of new Investment Specialists.
- Balanced customers Trust Accounts and Fund Positions for both Proprietary and Non-Proprietary Mutual Funds.
- Supervised staff on the daily trade verification process for our client’s accounts.
- Received and processed loan requests and other daily transactions for Retirement Plan Accounts.
- Made necessary adjustments to trades and submitted information to Fund Companies.
0-5 years of experience
- Gained proficiency of the team responsibilities in less than 6 months for daily reconciliation tasks, price valuation, weekly reporting, new account set up for high net worth accounts. Created and updated policy and procedures.
- Created monthly reporting of work volumes for monthly management reporting in Excel and PowerPoint utilized by Senor Management within four months of joining department.
- Provided excellent customer service to internal and external clients. Traded high net worth accounts for USAA IMCO Portfolio Management by submitting trades for timely execution. Monitored control reports, daily trading, system maintenance and trade blocks for potential violations to mitigate risk to the client and firm.
- Established collaborative relationship with Equity and Fixed Income Portfolio Management.
0-5 years of experience
Provide clients with quality customer service, field general account inquiries, and research and resolve client requests.
- Top performer across department for securing new asset referrals, opening new accounts, and client satisfaction.
- Execute and confirm trade orders as well as a variety of securities and account transactions in timely manner.
- Work closely with customer to determine their needs and objectives while positioning solutions accordingly; and apply key principles appropriate to each client’s needs.
- Establish and continue to strengthen client relationships, uncover additional needs, and refer clients to partner businesses.
- Stay current on changes in financial markets and regulations; provide clients with up-to-date knowledge on Merrill Edge products, policies, and services.
0-5 years of experience
- Generated and updated positions, gain loss and other ad hoc reports according to the needs of portfolio managers and management
- Tracked portfolio performance and allocations to organize composite to meet Global Investment Performance Standards
- Updated and maintained internal security asset information database
0-5 years of experience
- Responsible for assisting clients with their account and trading needs
- Provide in-depth knowledge and service on the trading platform, research, and enterprise offerings
- Quickly solve each clients’ unique problems through research, creativity, and working with teammates
- Managed improvement and maintenance projects while keeping to strict deadlines
- Worked closely with other teams and communicated with them clearly to ensure that all projects were completed successfully and promptly
0-5 years of experience
- Managed over 127 million dollars bond assets including treasure bonds, corporate bonds and financial bonds.
- Managed over 16 million dollars real estate assets with over 10% annual rate of return.
- Monitored and understood financial market condition to gauge investment opportunities based on company’s short-term and long-term risk profile.
- Performed financial modeling analysis to detect various investment outcomes.
0-5 years of experience
Analyzed and researched competitor mutual funds and compared to Principal Funds’ offerings for our sales, marketing, and relationship management groups
- Utilized investment and research software such as Morningstar Direct, Zephyr StyleADVISOR, Lipper, and Ned Davis Research during analysis
- Interacted with due diligence team, analysts and portfolio managers to gain insight into investment process, current positioning and performance attribution
- Provided training to distribution force on all Principal Funds investment strategies
- Completed request for proposals (RFPs) for outside firms expressing interest in investment strategies offered by Principal Funds
0-5 years of experience
Licensed Registered Representative holding active Series 7 and Series 63 FINRA licenses.
- Handle all service related inbound calls for USAA membership handling a variety of investment vehicles from Mutual Fund & Brokerage accounts along with a variety of investment vehicles offered including Traditional, Roth, SEP and Simple IRA’s.
- Average 100 to 120 comprehensive financial reviews to our membership on a weekly basis
- Currently pursing my CFP designation and Series 65 FINRA license to increase my value to potential future investment firms.
0-5 years of experience
- Drove sales by collaborating with product managers in the management of MFS global, international, US equity, Core Plus Fixed Income, and Emerging Markets Debt products by completing routine and ad hoc requests.
- Responsible for creating and enhancing client reporting and sales materials, including client review books, competitive analysis, monthly / quarterly portfolio commentaries, and product cheat sheets, resulting in significantly improved collateral that helped drive business development and retention.
- Led effort in creating the Competitor Template for the Product Assessment Project, which resulted in more consistent and informative competitive analysis reports and facilitated sales and relationship management efforts.
- Designed and updated a Client Vulnerability Matrix, allowing the firm to more effectively monitor client performance and identify underperforming portfolios that required additional attention.
- Supported launches of new institutional strategies by creating, refining, and presenting extensive supporting documents, which contributed to the early sales success of these strategies.
- Produced daily performance report template which was used across the institutional business and allowed portfolio managers to keep up to date on portfolio performance.
- Partnered with the director of product management to rationalize and streamline the firm’s portfolio lineup, develop and communicate capacity management approach, and ensure competitiveness of product fees.
0-5 years of experience
- Create VBA macros that extract data from Bloomberg and FactSet in order to produce monthly performance report for different emerging market funds: Asia; South America; Central & Eastern Europe; South Africa.
- Use Excel VBA, Bloomberg and FactSet to assist team managers in their diverse daily tasks: Stock Analysis; Market Research; Ratio Calculation; Chart Analysis.
- Top Stock Selection Project: Program generating best small-cap stocks for one selected country. (Excel VBA and Bloomberg)
- Produce quarterly presentations for different emerging market funds: Investment Team; Investment Philosophy; Investment Process; Performance Analysis.
0-5 years of experience
- Establish and maintain strong relationships with Merrill Lynch Private Banking & Investment advisors to increase usage of [company name] investment solutions with ultra-high-net-worth clients using a consultative approach.
- Sales results YTD as of June 30th: $214 million mutual funds, $103 million SMA, $15 million AI mutual funds, $79 million DC mutual funds.
- Advise private banking advisors on asset allocation framework and risk analysis across asset classes in active solutions and ETF strategies.
- Develop customized portfolio solutions with the appropriate risk/return framework to help advisors convert prospective clients into clients.
- Educate advisors and clients on ETF structure and trading to promote ETF usage in a responsible manner.
- Develop and coach sales talents, and mentor junior colleagues.
0-5 years of experience
Answered phone calls to provide world class customer support
- Learned the rules and regulations of the securities industry
- Navigated numerous systems while simultaneously helping clients
- Spoke and notated client interactions in a highly professional manner
0-5 years of experience
Assisting clients with daily maintenance/ service requests.
- Actively assisting in creating marketing products, branding and coordination.
- Compiling client review summaries/ maintaining compliance requirements.
- Executive/ Advisor Assistant, scheduling/ administration duties.
- Oversee and coordinated all insurance processing and directly communicated with the underwriters, physicians, attorneys, and advisors.
- Analyzed account data to ensure proper allocations and objections are being implemented with investment accounts.
- Trade orders.
0-5 years of experience
Work within the Business Development Group in a team environment to assist our clientele with money movement amongst different investment accounts, using programs such as ACAT, TORA, and DTC
- Use consultative sales to assist investors with consolidating assets and help grow Vanguard’s Retail division
- Provide enhanced investment guidance on the different products and services offered to clients through relationship management and knowledge of the financial markets
- Analyze and resolve issues that occur with the transfer of investment accounts from different institutions
0-5 years of experience
Responsible for managing the investment selection within a $90 Million book of business.
- Responsible for providing Market Outlooks and Economic Updates to the Franchise Owner and team of Financial Advisors.
- Worked with clients to ensure the appropriate investment selections to fit their financial as well as moral goals.
- Handled client questions regarding specific investments within their accounts.
- Conducted tax analysis with clients to help determine the appropriate investment options for their particular situation.
0-5 years of experience
- Answer client telephone calls promptly and in an appropriate manner.
- Made prompt follow-up telephone calls with clients.
- High quality assurance scores on incoming calls.
- Educated clients on topics in securities industry.
- Assisted clients in transferring assets from one firm to another.
6-10 years of experience
Primary function is to assist portfolio manager in management/monitoring of accounts
- Manager of accounts in 1 Year Treasury strategy
- Credit Research and Data analyst (corporate & municipal debt perspective)
- Assist in the creation of client presentations
- In charge of GIPS compliance and month end reporting
0-5 years of experience
- Accurately execute and confirm trade orders as well as a variety of securities and account transactions.
- Maintain current knowledge of Merrill Edge products, policies, and services while keeping abreast of financial
- Demonstrate knowledge of investments and financial markets and apply key principles appropriately to the individual client’s investment needs.
- FINRA licensing Series 7 & 63
0-5 years of experience
- Providing investment guidance work for clients
- Understanding and operating under the guidelines of FINRA and the SEC
- Working collaboratively to provide personal financial information for clients
- Obtained the Series 63 License (9/13/16)
0-5 years of experience
- Execute and confirm securities transactions initiated by retail clients and provide assistance to clients upon request
- Support self directed customers with service requests, new account inquiries and asset consolidations
- Partner with financial advisors to support full service customers with service requests and trades
- Provide limited research and counseling services on various products
0-5 years of experience
Provide proactive guidance on investment solutions via a needs-based consultative selling approach.
- Develop and recommend investment strategies that have the greatest likelihood of success for the client’s goals.
- Bring in new assets as well as retaining existing accounts to grow T Rowe Price’s client base and gain overall market share in the industry.
- Act as a subject matter expert for retirement products, education products, and small business sales.
10+ years of experience
- Manage firm collateral, cash positions, foreign currency, and numerous reconciliations
- Successfully process roughly 300 foreign exchange conversions daily including hedging firm exposure
- Gained experience with cash forecasting and managing up to $100 million in collateral
- Oversee securities reconciliations, investment summaries, repo valuations, risk reports, and exchange margin
10+ years of experience
Prepare and processing financial transactions for shareholders mutual funds accounts.
- Setting up new accounts for shareholders.
- Reading and understanding shareholders request for updating their accounts.
- Validating new accounts and existing ones for accuracy.
- Maintaining and updating shareholder accounts.
- Communicating with shareholders/clients via phone or e-mail to verify and confirm information on their accounts.
- Preparing weekly report for senior managers.
- Complying with and adhering to all investment services and mutual funds policies and procedures.
- Performing other investment services duties as assigned.
0-5 years of experience
Investment banking (Internship program).
- Responsible identification of potential acquisition targets, networking with deals origination, business development with customer acquisition strategy (investment funds and business owners) in the SF Bay Area.
- Marketing and financial analysis of M&A targets; reviewing valuation models and negotiate purchase price according to these DCF models.
- Working on 7 deals simultaneously.
0-5 years of experience
Served clients by obtaining and evaluating financial situations
- Delivered professional investment services to clients
- Recommend financial plans
- Scheduled client appointments
- Processed client payments and responsible for collections.
0-5 years of experience
- Analyzed problems on a call by call basis and found solutions to each of them
- Worked with colleagues as well as management to find solutions for each problem that arose
- Exceeded expectations from clients, brokers, and management on a daily basis
0-5 years of experience
Research, resolve and process client inquiries via secure online message system.
- Work independently within a team environment, responding to and resolving client inquiries regarding self-directed investment accounts and products offered.
- Educate and inform clients of product offerings, system usage and navigation of [company name]’s proprietary online trading platform.
- Maintain client accounts via multiple proprietary [company name] software programs to maintain strict adherence of accurate information.
- Process and adjust client cost-basis tax lots.
0-5 years of experience
Created client portfolios utilizing equities, fixed income and mutual funds.
- Educated clients on numerous topics including retirement, insurance products and financial & estate
- Ongoing relationships with high net worth clients.
- Business development and asset gathering of retail clientele.
10+ years of experience
- Service shareholders/brokers with account transactions and procedures in call center environment.
- Assist prospects in opening new accounts and maintaining existing accounts.
- Quickly and effectively solve customer issues.
- Maintain quality assurance goals as part of performance review.
10+ years of experience
- As an investment support specialist I am responsible for reviewing, analyzing and processing routine to complex investment product and services transactions.
- Ensure daily activities comply with applicable regulations and internal policies.
- Work with financial advisors to conduct research and provide analytical support in an effort to resolve client issues related to funding and account maintenance.
- Collaborate with internal and external departments while utilizing multiple Chase programs to complete client request such as money movements, transaction history, generate reports and respond to inquiries.
- Gather, analyze and summarize financial plans as requested by clients and financial advisors.
- Process money movements, stop payments, returns and accounting adjustments.
- Review and report daily account values while providing quotes on specific securities.
- Maintain strong banking relationships with all contacts.
0-5 years of experience
Servicing investment and account need
- Building rapport and relationship with members
- Analyzing overall portfolio and uncover needs through meaningful conversation
- Cross sell
0-5 years of experience
- Take 40-50 inbound calls a day from [company name] clients, [company name] and Merrill Lynch financial advisors, and other brokerage firms
- Assist client with various service items on their accounts such as personal information changes, cost basis corrections, balances, documentation and money movement
- Expand existing client relationships with Bank of America through promoting bank accounts, new brokerage accounts, rewards programs and consolidating funds clients may have at other organizations
- Work on trade desk placing trades for clients involving long and short equities, ETFs, mutual funds, options, fixed income as well as buying power and balances for margin accounts
- Input information into our client relationship database, use Oracle to document each conversation, and other proprietary programs to manage each client’s account information
- Use Microsoft Excel to manage and calculate data and Microsoft Outlook to communicate with various departments, colleagues, teams leads and managers
0-5 years of experience
- Support the operational side of the business as well as the retail services direct client facing side of the business assisting with inbound calls from clients.
- Delivers quality service to clients by exhibiting accountability, awareness and active listening skills to consistently complete client requests accurately and in accordance with [company name] policy and procedures
- Positioned [company name] services as needed when things provided a better value to the client
- Data entry position that required completing client monetary and clerical requests received by mail
- Prioritize work to best serve the client and maximize the best use of my time as a client facing crew member.
- Sort and categorized mail received from clients in company web databases (WAVE, BETA and VAST)
- Engage in process improvement by making suggestions to help improve processes that directly affect clients and crew.
6-10 years of experience
- Conducting customer interviews to decipher family needs
- Educate clients on the various public assistance programs that will meet their needs
- Create and maintain case load utilizing various systems: CARES, SVES, MAB, MMIS, MHC, and POC
- Work with interdepartmental units such as PAR for case accuracy
- Provide supplemental training and assistance to Family investment specialist trainees
0-5 years of experience
Provide account service and guidance to Merrill Edge clients
- Execute trades on behalf of clients
- Educating clients about investment products and services
- Assisting clients in taking advantage of the full range of Bank of America, [company name] and Merrill Edge services
0-5 years of experience
- Utilize a consultative service model to build and enhance relationships with retail clients including asking questions to understand the client’s situation before taking appropriate action or discussing investment options.
- Enhance client relationships by appropriately identifying opportunities and presenting value added services such as online account access and consolidation of outside retirement plan assets into existing plans with T. Rowe Price
- Appropriately identify opportunities to retain retirement plan participants and assets in order to transfer calls to the appropriate group to build upon the current relationship.
- Collaborate with various departments within the organization to resolve client issues and maximize the level of customer service in order to increase client retention and assets under management
- Work with clients to resolve any issues to provide excellent customer service while still staying within the policies and procedures of T. Rowe Price.
0-5 years of experience
Determine individual customers and family eligibility for multiple programs
- Interview customers and explain program requirements
- Collect documentation from the customers and ensure that all forms are complete
- Assist customers with referrals to outside agencies and other program services
0-5 years of experience
- Assist clients with understanding gain/loss and cost basis of their transactions
- Assist clients with billing and statement issues
- Effectively explain trade violations and Margin Calls
6-10 years of experience
Work with Brokers and Salesmen to ensure bond settlement
- Daily balancing of bank accounts
- Daily balancing of spreadsheets
- Constant phone/email communication
0-5 years of experience
- Consult with buyer, sellers, and investors
- Hire outside vendors for approvals
- Solicit financing for clients
- Draw up contracts
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Investment Specialist
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.
