Wealth Management Officer Resume Sample
Harvey Reichel
53541 Grady Junction,
Detroit,
MI
+1 (555) 997 3916
Work Experience
Senior Wealth Management Branch Inspections Officer
02/2016
-
PRESENT
San Francisco, CA
- A strong sense of ownership, responsibility and sense of urgency
- Identification of compliance risks and the provision of solutions and methods to detect, prevent, mitigate, and or respond to such risks
- Providing advice and guidance on the Firm’s Digital Strategy, including the development and enhancement of digital investment products, services and platforms, as well as internal and external tools
- Drafting and revising Compliance policies as the Firm’s Digital Strategy evolves
- Assessing the implications of regulatory initiatives affecting the Firm’s Digital Strategy, and recommending new and improved controls to satisfy changing regulations
- Providing advice and guidance on the Firm’s Digital Strategy, including enhancing our client website and online trading platform as well as mobile application
- Provides reasonable assurance towards Business Line ExCo members, Regional Compliance, Business Line’s governance bodies and regulators regarding Compliance, reputation, permanent control and operational risk
- Attend and actively participate in office sales meetings and Officer’s Wealth Management and Investment committees
- Develop Center of Influence Network by adding 4-8 referring COI’s each year
Wealth Management Compliance Officer
03/2012
-
11/2015
Dallas, TX
- Performs ad hoc product or business process reviews to identify opportunities for improvement. Assists in the development of new testing based on changes to existing products, services, or business process or based on changes to existing laws or regulations
- Performs special projects or testing, as necessary, over a broad range of activities, including complex research, due diligence reviews, or other areas
- Coordinates with Internal Audit in providing request information in connection with their periodic Wealth Management audits
- Supports the Wealth Management Compliance staff by assisting with the execution of action plans and initiatives
- In-depth knowledge of Fiduciary and/or Securities regulations
- Comprehensive knowledge and understanding of banking and securities operations; broad knowledge and understanding of all facets of wealth management, including AML and Privacy
- Comprehensive knowledge of federally recognized examination procedures to evaluate compliance with wealth management related laws and regulations
Wealth Management Operations Junior Officer
07/2007
-
12/2011
San Francisco, CA
- Preparing periodic, cumulative reports on the overall status of the Bank’s wealth compliance efforts
- Under direction of management, performs compliance monitoring of applicable rules and regulations to asset management businesses
- Escalates any significant deficiencies to manager and/or compliance officers within asset management compliance
- Records and compiles data for monthly and ad hoc reporting to Management and where applicable, business, and/or compliance partners. Identify and reports any data or process deficiencies
- Discharges the Compliance Officer(s) accountabilities by proactively assisting management in identifying and containing compliance risk, monitoring, reporting and certification
- Participates in assessments, planning, coordinating, performing and documenting compliance testing initiatives across all areas of Wealth Management to ensure adequate compliance with laws and regulations
- Provides consultation to business lines regarding application of fiduciary, securities, and wealth management laws and regulations, as applicable. Provides feedback and comments on strategies to enhance Wealth Management business processes to improve compliance effectiveness
Education
Purdue University North Central
2002 - 2006
Bachelor's Degree in Business
Professional Skills
- Strong communication and engagement skills, with an ability to deal with potentially contentious issues effectively
- Analytical skills and numeric aptitudes
- Good interpersonal skills and communication
- Strong understanding of governing documentation of a legal entity (legal entity structures, operating LLC’s, bi-laws etc.)
- Relevant experience either within a Legal, Compliance, regulatory or audit function pertaining to Wealth Management
- Strong team spirit
- Working knowledge of banking and securities laws, regulations, directives and expectations
How to write Wealth Management Officer Resume
Wealth Management Officer role is responsible for compliance, software, securities, finance, training, trading, reporting, design, digital, interpersonal.
To write great resume for wealth management officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Wealth Management Officer Resume
The section contact information is important in your wealth management officer 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 Wealth Management Officer Resume
The section work experience is an essential part of your wealth management officer 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 wealth management officer responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular wealth management officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Wealth Management Officer resume experience can include:
- Excellent analytical ability and organizational skills (collecting and evaluating financial and other data to determine trends, core problems/solutions and overall compliance with accepted financial/accounting practices)
- Build effective partnerships with multiple stakeholders
- Design and delivery of compliance training and / or materials – including induction and quarterly black belt trainings
- Knowledge of WM products and service offering
- Interact with line of business management to ensure that analytical results are understood and recommendations are implemented
- Leads in the design implementation and proactive management of Wealth Management’s compliance program to ensure continuing compliance with applicable laws and regulations. The compliance program includes the following components: policies and procedures, training, monitoring, and consumer complaint response
Education on a Wealth Management Officer Resume
Make sure to make education a priority on your wealth management officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your wealth management officer 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 Wealth Management Officer Resume
When listing skills on your wealth management officer 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 wealth management officer skills:
- Proven Wealth Management Compliance experience for at least 1 year with prior relevant Compliance, Risk or Audit experience to supplement that
- Good working knowledge of the local regulatory environment as it pertains to the Wealth Management business
- Relevant work experience in the financial services industry in Compliance or related fields, or with a securities exchange or regulator
- Be responsible for ongoing review and update of the Singapore Compliance Manual and relevant sections of the Operating Manual
- Support the business in remaining compliant within the regulatory environment and managing their risk
- Willing to learn
List of Typical Skills For a Wealth Management Officer Resume
1
Skills For Wealth Management Compliance Officer Resume
- Provide business management with controls, tools, training, frameworks , information and insights required for them to manage risk
- Adaptability and polyvalence
- Rigorous and autonomous
- Provide high quality C&ORC advice to Business and Support functions on applicable internal policies, laws and regulations
- Provide C&ORC reviews / sign-offs / approvals where processes require
2
Skills For Wealth Management Operations Control Team Business Management Officer Resume
- Carry out any ad-hoc reviews that arise from Global Functions, Business / Support functions, regulators or when required to support the separate Compliance Controls Team
- Participate in ad-hoc projects as the C&ORC representative
- Perform ad hoc investigations into matters or issues that are escalated to C&ORC
- Participate in UAT and system enhancement
- Knowledge of HK, US, SH and SZ stock markets
3
Skills For Private Wealth Management Fiduciary Compliance Officer Resume
- Provide independent and timely advice to our business and other functions on all issues including investment suitability and products, cross-border, new business initiatives and transactions undertaken by clients
- Drive the identification, assessment, measurement, mitigation and monitoring of compliance and operational risk as it pertains to the wealth management business
- Assess regulatory developments and requirements (e.g. HKMA) and work with our business to ensure compliance risks are identified, reported and tracked for resolution
- Deliver and facilitate training courses and seminars according to agreed quality standards
- Review business marketing materials
- Sound know-how in the analysis of business processes
- Verify aspects of commercial and operational arrangements within the business and challenge documentation with an independent mindset
4
Skills For Compliance Officer, Wealth Management Resume
- Coordinates the FDIC examination, Pennsylvania Department of Banking examination, Securities and Exchange Commission examination and all external an internal audits of Wealth Management’s compliance program. Resolves findings and recommendations resulting from examinations and audits
- Participates in the identification and quantification of compliance risk considering the size, level, and complexity of Wealth Management’s operations; financial product and service offerings; and their delivery systems
- Assists in the development of an annual risk-based business plan and budget to establish compliance program objectives including the oversight/direction of compliance liaisons, as applicable
- Assists Compliance Liaisons as needed in the development of compliance policies and procedures to ensure consistent operating guidelines that support Wealth Management in complying with applicable consumer protection laws and regulations
- Maintains knowledge and understanding of all consumer protection laws and regulations that apply to Wealth Management’s business operations; assesses regulatory developments, emerging issues or potential liabilities; and communicates as appropriate within the organization
5
Skills For Wealth Management Client Onboarding Officer Resume
- Serves as Secretary of Stewart Capital Advisors LLC board of directors. Oversees compliance program and activities as Chief Compliance Officer for Stewart Capital Advisors LLC, between SCA and its outsourced compliance advisor(s) (currently Hardin Financial Consulting)
- Prepares reports to the Board of Directors and/or Wealth Management Oversight Committee and Senior Management relating to compliance matters
- Participates on committees and task forces involved with new product initiatives and lines of business as directed
- Assumes responsibility for selected compliance regulations within Trust, Financials Services and Stewart Capital Advisors LLC
- Supervises Wealth Management compliance support staff
- Reviews print and electronic media advertisements and other marketing materials for products and services to assure compliance with consumer protection laws and regulations
- Demonstrates a strong ability to work independently, as well as motivated to work as a team player, exhibits excellent interpersonal skills, in order to contribute to the success of the department and in turn, the organization
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