Registered Investment Advisor Resume Columbus, Ohio - Hire IT People

SUMMARY:

To obtain an executive position with a Financial Services organization in the area of fee - based investment Confidential .
I am seeking a position that will reward my initiative and continue to build on my strong financial services background and reputation.
Accomplished Trading, Operations, Compliance and Marketing executive.
Well versed in project planning/management, new organization startup, and establishing and maintaining key relationships.
I have a keen ability to quickly grasp details, to analyze a broad spectrum of information, and make decisions and implement creative solutions.

PROFESSIONAL EXPERIENCE:

Confidential, Columbus, Ohio

Registered Investment Advisor

Vice President/Senior Relationship Manager

Confidential

Confidential, New York, NY

Broker/Dealer, Registered Investment Advisor

NLS Managing Director

Confidential

Director

Confidential

Equity & Fixed Income Trader

Confidential, New York, NY

Broker/Dealer

Confidential

Senior Relationship Manager

Responsibilities:

Key Account Relationship Executive, National Accounts Manager
Product Development - Mutual Funds, Multi-Strategy Accounts, Variable Annuities, Separately Managed Accounts and Wealth Management Team Member
Responsible for over 327 Firm Relationships
Negotiated Sales Incentives and Business Development for the Independent Business Channel
Conference Presenter/Key Note Speaker
Firm due diligence
Assisted National Sales Manager in marketing and sales of Investment Advisory products

Confidential

Senior Relationship Manager

Responsibilities:

Developed and implemented departmental business plans with the objective of increasing the number of advisors and to grow assets under management while significantly reducing operating costs
Developed and implemented numerous Confidential platforms which incorporated the following
Oversight of 6 billion under management for the MetLife Companies (2 billion NLS)
Organized and marketed workshops to promote Confidential marketing and sales
Trained staff and sales team in the methodologies of Confidential, the process, implementation, contracts and technology
Supervised all aspects of the advisory division including registration and affiliation, new account processing, trading, billing, performance measurements, supervision of assets, due diligence and compensation
Created and developed Portfolio Advisory Service marketing kits and brochures
Created and developed all IA PowerPoint presentations, marketing news letters (monthly, quarterly sales ideas)
Created and developed Portfolio Advisory Service compliance manuals and ‘doing business guides’
Negotiated, renewed & executed selling agreements with all third party sponsors. Conducted due diligence on all Confidential service providers
Business Development - Assisted advisors in prospecting for new clients, identifying clients risks and financial goals, and making proper recommendations
Guided advisors to product sponsors thereby maximizing the wholesaler/to advisor relationship
Monitored all business activities and trading for compliance purposes. Monitoring was conducted though surveillance of trading, internal compliance systems, client documentation, and investment policy statements with asset allocation models
Assisted in the annual Form ADV Parts I and II, Schedule F and Schedule H
Assisted in recruiting numerous Registered Representatives and Financial Advisors including Independent Financial Planners, Accountants, Insurance Professionals, and Solicitors
Staff supervisions - Marketing and Sales, Operations, Compliance and General Administrative Staff

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Registered Investment Advisor Resume

Columbus, OhiO

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