Private Wealth Management Asia Resume Sample
Josefina Nikolaus
2094 Feeney Club,
San Francisco,
CA
+1 (555) 903 2996
Work Experience
Private Wealth Management Asia
03/2018
-
PRESENT
Detroit, MI
- Liaising with various Business Units to ensure client documentation is comply with policies and procedures
- Ensure all client queries are promptly follow up and resolved
- Understanding client’s overall relationship with the bank
- Liaise with IED traders in New York and London on FX, structured products orders as necessary to change order instruction as per clients or Sales’ advice
- Update MSI team and Sales on US and Europe market news and important stock specific news LI-JG1
- Assist Sales Teams to synthesize client/prospect data to develop customized business plans, design and produce strategy reports, create pitchbooks and execute marketing strategies to attract new business LI-IN1
- Act as Business Continuity Planning (BCP) coordinator; review and update the BCP strategies and coordinate BCP tests to comply with the firm’s policy and regulatory requirements
- Participate in process re-engineering projects to reduce the residual risks of the department and streamline the process. LI-IN1
- Client account documentation (information gathering, liaising with various parties, check and follow up for documentation completion)
Education
Averett University - Richmond Campus
2012 - 2017
Bachelor's Degree in Business Administration
Professional Skills
- Strong project management, people management and influencing and analytical skills
- A team player with strong analytical, problem-solving, communication and interpersonal skills
- Deliver effective and interactive training sessions and encourage involvement (e.g. quiz, Q&A) for both skills and value based training
- An analytical mind with problem-solving skills
- Organisational skills and ability to work unsupervised
- Thai / Bahasa language skills
- Good presentation, negotiation and analytical skills
How to write Private Wealth Management Asia Resume
Private Wealth Management Asia role is responsible for english, training, analytical, refining, finance, credit, database, recruiting, security, trading.
To write great resume for private wealth management asia job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Private Wealth Management Asia Resume
The section contact information is important in your private wealth management asia resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Private Wealth Management Asia Resume
The section work experience is an essential part of your private wealth management asia resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous private wealth management asia responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular private wealth management asia position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Private Wealth Management Asia resume experience can include:
- Identify and participate in process re-engineering projects to reduce the residual risks of the department and improve efficiency and effectiveness. LI-SC1
- At least two years of relevant experience in a client service role in Financial Service industry
- Handling all administrative aspects of new account opening, credit facility, periodic review, etc
- Writing Policy and Procedure documents relating to Suitability Risk Management
- Preparing HKMA regulatory submissions
- Keeping abreast of regulatory or internal policy changes related to the product and the business
Education on a Private Wealth Management Asia Resume
Make sure to make education a priority on your private wealth management asia resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your private wealth management asia experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Private Wealth Management Asia Resume
When listing skills on your private wealth management asia resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical private wealth management asia skills:
- Possess a good risk management and lending-products network with a strong knowledge of industry best practice techniques
- Proven experience in Expense Management and Office Administration
- Experience in a sales support/client servicing role within private banking
- In-depth experience in pre/post trade selling process in private banking industry
- Ideally with previous experiences in private banking or onboarding in a top-tier bank with exposures to complex entity structures
- Professional experience in the Banking section ideally in CIP (Client Identification Program), AML or client onboarding
List of Typical Experience For a Private Wealth Management Asia Resume
1
Experience For Private Wealth Management Asia, HKG Resume
- Identify any gap/deficiency in workflows, procedures and systems and assist in implementing and monitoring the control effectiveness and efficiency
- Good knowledge of different markets, investment behavior and orientation
- Maintaining and approving credit limits for clients
- Ensuring compliance to various regulatory requirements in relation to credit risk management
- Engage with relevant stakeholders including Firm Risk Management, Legal and Compliance, Internal and External Auditors, and Investment Representatives
- Ensure complete set of CIP documentation and correct data capture onto the internal client database
- Communicate with the Sales team on any discrepant information and/or missing documentation, including but not limited to account opening form, tax declaration forms, other legal documentation and SOW corroboration supporting evidences
2
Experience For Private Wealth Management Asia Resume
- Serves as a senior mentor to junior members of Documentation Team
- Continuous active engagement with Sales team to share and educate KYC and AML related guidance/learning points, with the objective to improve the standard and quality of KYC and client due diligence across PWM
- Act as subject matter expert on account opening
- Provide progress updates on the client account portfolios to the Sales team on a regular basis
- Night shift (overseas market hours: 7 pm – 4 am / 8 pm – 5 am) and holiday coverage required
- Handle various products included cash equities, FX, fixed income, exchange traded derivatives and structure product
- Liaise with Operations to ensure the trade allocation and settlement are completed smoothly
- Communicate with RMs and clients across different regions in Asia who invest in overseas markets such as US, Europe, & etc. with market information, flows, price moves and general queries
- Liaise with internal and external counterparties to ensure high standard of client services and relationships is maintained to generate new business opportunities for RMs
3
Experience For Private Wealth Management Asia, HKG Resume
- Work closely with other traders in maintaining and enhancing the execution process, analyzing the current market conditions, leveraging in-house trade ideas and providing market colors
- Keep up to date on regulatory requirements and control standards
- SFC/ HKMA licensed, familiar with local regulatory and compliance requirements
- Knowledge in Microsoft Office, Bloomberg and Reuters etc
- Conduct market intelligence projects and prepare industry analysis reports on ad hoc basis
- Convert passive candidates into active candidates
- Keep track of the interview details including schedules, feedback and status between the Recruiting Manager, Hiring Managers and candidates in a systematic and collaborative manner
- Detail orientated, self-motivated and able to work in a fast pace environment
4
Experience For Private Wealth Management Asia Resume
- Work in close partnership with the Account Management Team, Global Financial Crimes, Corporate Security, Operations, Talent Management and Sales Management Office to enhance the existing account opening process
- Implement and improve the quantitative analysis processes in the generation of comprehensive investment ideas, trade execution, and advanced strategies for Ultra High Net Worth (UHNW) clients in Asia, including individuals, family offices, etc
- Managing the Account Change Request process including maker / checker role to ensure that all changes are processed in adherence to the policy and procedures in a timely manner
- Managing numerous regular review cycles such as Investment Profile Questionnaire (IPQ), Single Counterparty Grouping (SCG) and Insider Declaration
- Support manager by taking on supervisory work including monitoring the status and deadline of BAU tasks so to provide satisfied client experience and adherence to regulations
5
Experience For Private Wealth Management Asia, HKG Resume
- Scheduling appointments and maintaining Managers’ calendars
- Follow-up with Sales team on any missing documentation and handle their daily queries
- Prepare and process Managers’ expenses claim and checking of team expenses claim
- Oversight general office admin to the office - including stationery order, holiday cards, year-end diary and misc
- Coordinate and manage department events – internal or client-related teaching/ luncheon/ seminar/ conferences/ business functions etc
- Assist with internal (Internal audit, & Compliance) and external audits and perform investigations and remediation
6
Experience For Private Wealth Management Asia Resume
- Liaise/Coordinate with global offices and various business units for audio calls and video conference arrangements
- Arrange/Coordinate travel arrangement & accommodation for managers as well as visitors schedule from global offices
- Participate/contribute in company events
- Support Markets Strategies and Investments (MSI) Team to manage the product shelf including ongoing monitoring, management reporting, pricing activities and prospectus management
- Perform due diligence on new and existing products (e.g. Conduct financial statement analysis on bond’s issuers or listed company, analyze complexity of instruments and related structured products, including equity, bond or ETF etc.)
- Monitor market intelligence from various sources including market research reports, trading data and investment seminars etc
- Work closely with other product specialists to keep abreast of the regulatory/ internal policy changes, market trend and product development to maintain competitiveness of product offerings
- Address investment risk and regulatory issues pertaining to cross asset classes of investment products and their suitability to ensure the alignment of risk profile and regulatory requirements
7
Experience For Private Wealth Management Asia, HKG Resume
- Conduct analysis in relation to the full product life cycle including product design, materials and flows to ensure compliance with regulation and internal requirements
- Provide product training to sales and other stakeholders to raise awareness and promote culture
- Participate in product related projects to enhance process
- Relevant experience in a bank, preferable in private banking / wealth management with comprehensive knowledge in products (e.g. in Fixed income, equity, structured products, alternative investments, OTC derivatives)
- Possess strong spreadsheet skills and experience in assessing investment values from private banking perspective
- Attention to detail, ability to analyze risk and regulatory issues to products and business models
- Proficient in both spoken and written English, fluent in Cantonese/Mandarin is a definite advantage
- Act as a key driver in developing PWM Credit Risk policy in relation to lending against an expanding universe of financial products and in refining these policies to facilitate the growth of the local margin lending business in a controlled manner
8
Experience For Private Wealth Management Asia Resume
- Conduct account and portfolio reviews
- Partner with the PWM business and control partners such as Compliance and legal to establish the regulatory controls, governance framework and surveillance methodology is effectively in place to manage the risk of business
- Analyze reports and identify trends in assessing the risk of the business
- Performs daily supervisory and trade based surveillance reviews to ensure adherence to Firm's policy and procedures. Monitor and identify internal breaches / control weaknesses and conduct investigations. Recommend corrective actions where needed
- Prepare documentation to report and escalate to senior management any issues and exceptions highlighted
- Support the Sales Manager and Branch Manager on initiatives to improve branch efficiency, reduce operational errors, create a proper control framework within the branch system and assist in optimizing revenue opportunities where possible
- Represent front office in engaging in internal and external audits, Compliance testing assignments and also Risk and Control Self-Assessments, to drive strong risk culture in the front office
- Present Clients’ profiles and findings in the regular Client On-boarding Committee meetings for final approval and answer queries as needed
- Continuous active engagement with Sales team to share and educate KYC and AML related guidance/learning points with the objective to improve the standard and quality of the KYC and client due diligence across PWM
9
Experience For Private Wealth Management Asia, HKG Resume
- Ensure account opening documentation and relevant approval records are retained properly in internal database and monitor the receipt of any outstanding documentation within required timeframe
- Effective communication skills in English and Mandarin (depending on the market coverage)
- Partner with the Hiring Managers and HR to design, implement and facilitate an effective and resourceful sourcing strategy
- Keep track of the interview details including schedules, feedback and status between the Hiring Managers and candidates in a systematic and collaborative manner
- Coordinate with account opening teams and operations to ensure a smooth process in client onboarding
10
Experience For Private Wealth Management Asia Resume
- Prepare, negotiate and execute master derivatives agreements, including but not limited to Private Wealth Management Customer Agreement, ISDA, GMRA and GMSLA
- Review and draft warrants documents including termsheets and final terms
- Review and analyze constitutional documents of the client to determine capacity and authority
- Review and analyze capacity and authority legal opinion from external counsel, and highlight issues to Risk and Legal where applicable
- Work closely with internal stakeholders on policies update and revise templates for master agreement if requires
- Handle business unit’s queries in terms of documentations
- Participate in globally or locally led projects related to documentation
- Review new account documentation and onboarding tool submission. Communicate timely and effectively with Sales to clarify data, documentation and information where required
List of Typical Skills For a Private Wealth Management Asia Resume
1
Skills For Private Wealth Management Asia, HKG Resume
- Strong organizational skills to handle a multitude of roles in parallel
- Communicate effectively and timely with the Recruiting Manager on recruiting updates
- Proven ability to build strong productive relationships
- Experience in handling trading, execution and the trading system
- Partner with the Recruiting Manager, Hiring Managers and HR to design, implement and facilitate an effective and resourceful sourcing strategy
- Experience complying in a banking environment governed by HKMA/SFC /MAS
2
Skills For Private Wealth Management Asia Resume
- Relevant working experience in the banking industry
- Ideally with previous experience in AML / Compliance within Private banking or onboarding at a top-tier bank with exposures to complex entity structures
- Experience in handling alternative investments transaction, Mutual funds, CoCo bonds
- Relevant experience in handling treasury products or wealth management products
- Experience in handling regulators
- Relevant working experience in the financial services industry
- Excellent command of spoken and written English and Chinese (including Mandarin)
3
Skills For Private Wealth Management Asia, HKG Resume
- Excellent understanding of risk management, and able to perform margin call if needed
- Develop effective new hire onboarding program for new sales and non-sales hires
- At least five years of relevant experience in a client service / account opening role within Private Wealth Management
- In-depth experience in multi-asset execution. Eg. cash / vanilla & exotics OTC notes/ derives under FX/Equity/FID
- First line of defense experience
4
Skills For Private Wealth Management Asia Resume
- Provide on-the-ground account opening support to new sales teams including NAO administration, account opening monitoring, escalation and reporting
- Ideally the person would have a background in looking at financing type solutions, ie anything from tailored margin financing, syndications
- Facilitate mailing of marketing materials LI-IN1
- Perform due diligence on new and existing products including Fixed Income and Structured Products
- Perform suitability risk monitoring, ensure trade executions are adhered to the risk management & monitoring framework, and in accurate and efficient manner
- Manage ongoing CSA training, engagement and career development
5
Skills For Private Wealth Management Asia, HKG Resume
- Work with a team as a process-oriented person and adhering to the organization’s product development standards
- Detail oriented, hard-working and able to work under pressure and meet deadline
- In-depth understanding of expense and office management procedures and policies
- Support IR in managing their clients’ portfolio on day to day basis
- Assist in reviewing clients’ subscription documentation
- Schedule appointments and maintaining managers’ calendars
- Prepare and process managers’ expenses claim and checking of team expenses claims
- Perform confidential administrative tasks – staffs’ leave application and record /staff training register, etc
- Approve and process employee expense reports, ensure the reports strictly adhere to PWM Asia Expense Policy with all required supporting documentation
6
Skills For Private Wealth Management Asia Resume
- Conduct periodic reviews to ensure all documentation, procedures, sales and marketing materials are updated and well recorded
- Collect market intelligence data including availability of new products, sales performance and market share
- Assist in the booking of trade orders for PWM Asia with high accuracy and control
- Handle trade execution and monitoring and maximize best execution of orders for clients / RMs
- Keep abreast of industry trends and activities in recruiting market developments, competitive trends, compensation, and other relevant areas
- Fluent in both spoken and written English and ideally Chinese (Cantonese / Mandarin)
7
Skills For Private Wealth Management Asia, HKG Resume
- Mature, self-motivated, proactive, with a passion for excellence
- Prompt reaction to customer needs and familiar with treasury systems like Reuters, Bloomberg, Kondor
- Fluent in both spoken and written English and Chinese, includes Putonghua
- Familiarity with financial and facilities management principles
- Relevant experience in a bank, preferably in private banking or wealth management with comprehensive knowledge in Bonds and Fixed Income products
8
Skills For Private Wealth Management Asia Resume
- Knowledge on account structures of various complexity, including personal holding companies, trusts, foundations, etc
- Proficiency in both spoken and written English, fluency in Cantonese or Mandarin a definite advantage
- Proficient in English. Knowledge of Mandarin or Cantonese would be an advantage
- Experience in working directly with Senior Stakeholders and with other support functions, including but not limited to Operations, Risk Management, Compliance teams
- CACS Paper 1 & 2
- Fluent in English and Mandarin (due to business needs)
- For Hong Kong: HK HKMA License - Type 1 & Type 2
- Certification in CACS I & II
9
Skills For Private Wealth Management Asia, HKG Resume
- Participate in regional projects as necessary (e.g. support new product approvals, rollout of new application, enhancements) LI-IN1
- Work with Legal and Compliance and the relevant support teams for updates on client documentation or ad hoc requests LI-IN1
- Advise and develop investment strategy that aims to meet clients’ objectives, needs as well as risk profiles
- Advise and develop investment strategy that aims to meet clients’ objectives, needs and risk profiles
- Ensure the wealth management process is compliant with regulatory requirements and Firm policies LI-JG1
- Meet clients and design credit solutions that strike a balance between clients' needs and PWM’s risk appetite
- Ensure full awareness of and adherence to internal policies and procedures
- Act as a key contact for Expense matters within PWM Asia
- Identify the major cost drivers, review the current practice of expenses and identify the possibilities of cost savings and better expense management
10
Skills For Private Wealth Management Asia Resume
- Resolve, record and report exceptions in a timely manner, escalate to Administration Manager, if required
- Develop, prepare, and present monthly report, analysis and presentation to Management on expenses, payments, actual costs vs. budget
- Review and approve cost center / invoices / cheque request approvers and identify changes
- Maintain and update PWM Asia Expense Policy on a regular basis
- Support Markets Strategies and Investments (MSI) Team to manage the product shelf including prospectus maintenance, risk management, management reporting and pricing activities
- Work closely with Risk and Legal and Compliance to ensure compliance with relevant Firm Policy and applicable rules and regulations
List of Typical Responsibilities For a Private Wealth Management Asia Resume
1
Responsibilities For Private Wealth Management Asia, HKG Resume
- Review the Corporate Security report for Negative News, Source of Wealth (SOW) corroboration and Total Net Worth substantiation. Communicate with the Sales team to obtain sufficient SOW evidence, details and justification behind Negative News
- Identify training courses that are relevant to new hires/ existing PWM colleagues; outline the course requirement, rationale, goals and objectives
- Promote Morgan Stanley PWM core values through coaching and mentoring especially to new hires
- Liaise with L&D Team to prepare training schedules and materials; to ensure proper set up of venue and hardware; to update and maintain training records
- Present Clients’ profiles to the Client On-boarding Committee meetings for final approval
2
Responsibilities For Private Wealth Management Asia Resume
- Review PWM colleagues’ learning performance and progress through evaluations, assessments, observations and one on one meetings
- Work closely with Subject Matter Experts to develop, maintain and update training materials
- Ensure that the client’s profile as provided by Sales is clear, comprehensive and structured in a manner to facilitate functional sign off
- Liaise with AML/Compliance to flag any concerns or exceptions for further review and discussion
- Ensure account opening documentation and relevant approval records are retained following defined procedures and monitor the receipt of any outstanding documentation within required timeframes
- Continuous engagement with Sales teams to share and educate KYC and AML related guidance/learning points with the objective to improve the standard and quality of KYC and client due diligence across PWM
- Keep up to date on knowledge of updated workflow policies, procedures, products and systems, HKMA/MAS circular and industry needs
3
Responsibilities For Private Wealth Management Asia, HKG Resume
- Utilize feedback to evaluate training effectiveness, identify training gaps, and recommend new ideas to enhance the training curriculum and the development of new programs
- Excellent analytical, organizational, leadership, public speaking and problem-solving skills
- Excellent PC skills, including PowerPoint, Word, Excel and SharePoint
- Strong interpersonal and presentation skills, and the ability to work in a multi-function team
- Private banking experience working in a client servicing role with strong knowledge of PWM products
- Strong integrity with a risk and control mindset, experience complying in a banking environment governed by HKMA/MAS
- Express ideas clearly, confidently, and effectively in both verbal and written communication
4
Responsibilities For Private Wealth Management Asia Resume
- Demonstrate ability to provide coaching and training to all levels of employees, including senior management and sales
- Good knowledge of banking systems, regulations, policies, and procedures
- Travel to facilitate and deliver training in other locations (e.g. Singapore), as needed
- CPWP is a definite advantage
- Review the documentation pack from Sales including the Client Identification Program (CIP) required documents, the Account Application forms, Investment Profile Questionnaires, Tax documents and other documents. Communicate timely and effectively to Sales on missing documentation, inconsistent information and incorrect data capture in the onboarding tool etc
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