To secure a Certified Financial Advisor position in wealth management with a well established organization that will enable me to utilize my communication skills and ability to assimilate information from multiple sources quickly and accurately.
Extensive experience in a fast-paced environment requiring self-management and task management of a large multi-skilled team environment.
Advanced technical skill set.
Outstanding verbal and written communication skills.
Excellent planning and control skills.
Capable problem solving by utilizing data gathering techniques, analysis, reaching a conclusion, and present findings.
Manage, train, internal and external clients/co-workers.
Detailed PC/software package knowledge including Microsoft Office Suite, QuickBooks, ASC, AXYS, Lotus Notes, Outlook, SalesForce and Instream.
Company NameJanuary 2014 to CurrentPara-planner State
Partner with assigned Certified Financial Planner to develop comprehensive and integrated plans for our high net worth clients.
Work closely with our clients other trusted advisors CPA, Attorney, Insurance Broker to ensure a holistic and coordinated approach to financial planning.
Interact with our clients in preparing for meetings to ensure we have all of the necessary investment and mortgage statements, tax returns, wills, trusts etc.
to develop a truly comprehensive plan.
Consult with clients to determine their goals, needs and risk tolerance.
Company NameJanuary 2000 to December 2012Account Administrator City, State
Coordinate efforts to identify any plan issues when the data and plan documentation information are not reasonable.
Review and validate client data to ensure we have necessary items to perform compliance testing.
Instrumental in developing means for tracking timeliness of our testing process.
Work with the client to resolve any data issues and accurately account for adjustments to data to ensure the integrity of all compliance testing.
Partner with Relationship Managers in the execution of retirement plan service needs for institutional clients.
Act as liaison between all affected departments at company to coordinate the resolution to various processing issues.
Partner with internal resources on the more complex client issues and communication issues related to daily plan administration.
Act as point of contact for the relationship, working with outside vendors, consultants, and all appropriate parties.
Analyze operational issues.
Work with clients to identify trends and eliminate errors that impact the daily administration of the retirement plans.
Work in partnership with the Institutional Investment Group to ensure the highest quality service and compliance with ERISA in accordance with Vanguard's policies, procedures and client's plan document.
Evaluate client relationships to recommend plan changes that result in operational efficiencies, which result in the highest quality of service.
Support development of new service initiatives through project teams and participate in special projects and other duties as assigned.
Establish and communicate detailed plan procedures with all impacted internal and external areas for the on-going administration of retirement plans.
Maintained control of assigned book of business through actively monitoring and updating the database.
Completed nondiscrimination testing within time sensitive deadlines.
Research and Process Administrator - Asset Management and Trust Services.
January 1995 to January 2000
Independently identified, researched and resolved complex and sensitive client issues through analysis of all related documentation.
Utilized exceptional client relationship skills when communicating with clients.
Partnered with Trust Administrators and Certified Financial Planners to develop and execute comprehensive financial plans for Vanguard's high net worth clients.
Researched and offered viable alternatives and solutions to satisfy the client and to maintain Vanguard compliance.
Served as a technical expert and resource for team and department.
Communicated trends and made recommendations for improvement to management on a consistent basis.
Maintained department standards for quality and productivity.
Obtained FINRA Series 6, 63, and 65 licenses by passing the required exams.
Responded accurately and thoroughly to all incoming requests from clients concerning account related information, legal requirements, and processing procedures.
Developed and maintained extensive knowledge of administrative and procedural aspects of Vanguard and Non-Vanguard mutual funds.
Maintained high productivity without jeopardizing quality.
Pennsylvania State UniversityBachelor Of Arts: PsychologyCity, StatePsychology
American CollegeChFC - Currently pursuing CLU and sitting for CFP comprehensive in March, 2016
FINRA Series 6, 63 and 65
Life and Health Insurance Licenses
Investment Real Estate and Property Management
administrative, approach, Asset Management, Attorney, book, CPA, client, clients, database, documentation, fast, Financial, financial planning, funds, Insurance, legal, Lotus Notes, meetings, Microsoft Office Suite, Outlook, policies, problem solving, quality, QuickBooks, Research, tax returns, written communication skills
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Pennsylvania State University
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