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senior private client banker resume example with 15+ years of experience

Jessica Claire
  • , , 609 Johnson Ave., 49204, Tulsa, OK 100 Montgomery St. 10th Floor
  • Home: (555) 432-1000
  • Cell:
  • resumesample@example.com
  • :
Professional Summary

Accomplished Financial and Banking Investment Advisor skilled at evaluating markets and applying sound financial principles for enviable growth and stability. Conducts comprehensive research to discover undervalued investment opportunities and recommends adjustments to existing portfolios for maximum return.

Skills
  • Active FINRA 7, 66, CA Life Insurance Licenses including Variable Contracts, CA Notary, NMLS
  • Financial Plan Development
  • Investment Operations & Planning, Financial Document Summaries, Financial Advising, Portfolio Management, Income Projections, build relationship, Referrals, make securities recommendations
  • Proposals and Presentations, KYC/AML Diligence
  • Investment Performance Reporting
  • Cash Management Strategies, Account Performance Reviews
  • MS Access, Excel, PowerPoint, Word, One Note, SalesForce
  • Understanding of regulatory laws
  • Knowledge of Banking and Financial compliance in SEC and NASD
Work History
Senior Private Client Banker, 09/2021 to Current
Pgim Global Short Duration High Yield Fund, Inc.Virtual Office, HI,
  • Work with customers to understand needs and provide excellent service including effective asset location and management
  • Manage 20-30 outbound and inbound calls to emphasize value of investment
  • Turn bank account holders into potential investors at 60% ratio
  • Understand the clients’ wants, desires, and needs at very deep and detailed level
  • Share value of Chase Private Client with clients to absorb them into Chase wealth management system
  • Expand relationship and create new banking relationships through advice-based approach including KYC, AML, and suitability
  • Partner with Private Client Advisors, Mortgage Bankers, and Business Relationship Managers to Cross Sell other products and services
  • Adhere to policies, procedures, and regulatory banking requirements
  • Develop summaries to assess clients' participation level and determine targets for follow-up plans
  • Highlight values and educate clients on risks, planning and financial products
  • Provide specialized financial planning support for clients with diverse portfolios and individual needs
  • Complete paperwork, recognize discrepancies and promptly address resolution
  • Exceed goals through effective task prioritization and great work ethic
  • Offer friendly and efficient service to customers, handle challenging situations with ease
  • Collaborate with team members to achieve target results
  • Identify issues, analyze information and provide solutions to problems
Financial Advisor, 04/2021 to 08/2021
Pgim Global Short Duration High Yield Fund, Inc.Arlington, VA,
  • Sales, marketing of financial products and services including all types of market investments, annuities, life insurance, 529, and more
  • Met with clients to discuss assets, expenses and long-term and short-term investment goals to devise personalized financial plans
  • Created business plan and identified target customers by interacting on phone and in person, handling basic inquiries and providing quotes
  • Helped individuals and families build and execute wealth management strategies based on unique goals and objectives
  • Assisted clients with preparing financial plans, conducting investment and completing trades and transactions to assess and meet financial goals
  • Facilitated new client onboarding process and investment account setup
  • Delivered strategic investment advice for individual and corporate clients
  • Performed due diligence and valuation processes.
Financial Advisor, 09/2018 to 03/2021
Morgan Stanley Wealth ManagementCity, STATE,
  • Met with clients to discuss assets, expenses, long-term and short-term investment goals to devise personalized financial plans
  • Created business plan and identified target customers by interacting on phone and in person, handling basic inquiries and providing quotes
  • Helped individuals and families build and execute wealth management strategies based on unique goals and objectives
  • Assisted clients with preparing financial plans, conducting investment research and completing trades and transactions to assess and meet financial goals
  • Managed over 2 hours of call block every day
  • Facilitated presentation and recommendation of financial management services by optimizing client relationships
  • Provided specialized analytical financial planning support for clients with diverse portfolios and individual needs
  • Facilitated new client onboarding process and investment account setup
  • Delivered strategic investment advice for individual and corporate clients
  • Performed due diligence and valuation processes
  • Educated clients on various financial matters and provided professional recommendations on investment opportunities, products and services based on individual needs
  • Developed personal rapport with each client to maintain customer loyalty and establish long-term accounts
  • Worked with clients to support understanding of rationale and details of financial strategies
  • Guided clients through compiling important financial histories and documentation for evaluation
  • Expanded customer base through community outreach and strategic business partnerships
  • Assisted clients in making beneficial and strategic decisions regarding investments, low-cash financing and sourcing overseas partners
  • Met with clients to discuss assets, expenses and long-term and short-term investment goals to devise personalized financial plans
  • Provided specialized financial planning support for clients with diverse portfolios and individual needs
  • Facilitated presentation and recommendation of services by optimizing client relationships
  • Highlighted values and educated clients on early investments, financial journey, and benefits of financial products
  • Prepared variety of different written communications, reports and documents
Financial and Insurance Manager, 11/2007 to 09/2018
Sun Insurance & FinancialCity, STATE,
  • Most of clients are high net worth individuals and families in Beverly Hills, Bel Air, Westwood, Century City, West LA, and Santa Monica
  • Responsibilities are similar to financial advisors by following structured process
  • Marketing: increased sales by over 300% over 5 years
  • Prospecting for new clients, analyze current and past clients, conduct market research, build client relationships, grow network, build connections with individuals, families and businesses, promote referral program, sets goals; and achieve those goals
  • Manage all aspects of insurance agency policies and sales including but not limited to: Marketing, personal and business insurance policies; analyze clients' requirements, quote policies, gather documents, qualify clients, write policies, evaluate property and commercial policies, service policies, upgrade, evaluate on timely basis, motivate clients to keep policies, conduct capital needs analysis
  • Type of Policies: Life Insurance policies including Whole Life, Variable Life, Universal Life, Index Universal life, Group Life insurance policies, Disability insurance, Auto (Personal and Commercial), Property, Business & Commercial policies including mostly BOP policies, Workers Compensation.
Education
Online in Financial Planning and Forecasting, Income Tax Planning, Investment Planning, Accounting, Estate Planning, Insurance Professional development completed in CFP Prerequisite courses: , Expected in to - ,
GPA:
Financial Planning Certificate: , Expected in 05/2021 to Boston University - ,
GPA:
MBA: Master: Business Administration: Information Systems, Expected in 06/1996 to California State University - Los Angeles, CA
GPA:
Bachelor of Arts: Applied and Analytical (Mathematical) Economics, Expected in 06/1994 to California State University - Los Angeles, CA
GPA:

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Resume Overview

School Attended

  • Boston University
  • California State University
  • California State University

Job Titles Held:

  • Senior Private Client Banker
  • Financial Advisor
  • Financial Advisor
  • Financial and Insurance Manager

Degrees

  • Online in Financial Planning and Forecasting, Income Tax Planning, Investment Planning, Accounting, Estate Planning, Insurance Professional development completed in CFP Prerequisite courses
  • Financial Planning Certificate
  • MBA: Master
  • Bachelor of Arts

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