SKILLS:

Relationship Building/Management, Sales, Client Service, Investment Analysis, Trading, Written and Oral Communication, Detail - Oriented, Portfolio Analysis, Schwab Institutional, Advent (APX), Bloomberg, Quantitative Analysis, Research, Equities, ETF’s, Mutual Funds, Options, Fixed Income, Fiduciary Standard, Taxation, Microsoft Office Suite, Salesforce, Interpersonal Skills, Meeting and Surpassing Goals and Quotas

EXPERIENCE:

Confidential, San Diego, CA

Client Service Specialist

• Responsible for providing total account service for 100+ existing clients with combined AUM >$250 Million
• Worked directly with Portfolio Managers to anticipate client needs and fulfill them within a timely manner
• Strategized and facilitated complete onboarding process of new clients including account setup and transfer of assets
• Utilized Schwab Institutional, Advent (APX), Salesforce and Microsoft Office Suite to meet and exceed all client needs and inquiries
• Reviewed daily reports and alerts to ensure accuracy of data and identify potential problems

Confidential, San Diego, CA

• Customer facing position providing Tax Support to customers with complex tax situations
• Assist customers who are working on their tax returns with both product/software inquiries, as well as with tax questions and calculations
• Interact with customers utilizing strong written and verbal skills, timely follow - up, as well as deep customer empathy
• High quality customer interactions and experiences with a focus on creating Net Promoters
• Actively contributes to the knowledge base content by linking, flagging and recommending updates
• Utilize and leverage government websites and toolkits to seek out and deliver accurate tax information to the customer
• Document customer interactions and properly escalate issues that do not have a known resolution
• Maintain customer contacts and business processes within Salesforce software

Confidential, San Diego, CA

Head Trader

• Responsible for the successful execution and monitoring of the long/short strategy for the Confidential LP fund
• Utilized third party and in-house research to maintain the optimal portfolio according to our investment objectives
• Focused on trading of domestic equities, ETFs and options to maintain a market neutral strategy and seek profitability in all market conditions
• Worked extensively, identifying and corresponding with the service providers needed for fund infrastructure. Performed thorough due diligence on these providers and ultimately shared my findings and recommendations with Company Management
• Met with prospective clients to present the background and abilities of the Confidential team and our plans for investment strategies and objectives. Maintained proactive, on-going correspondence with these prospective clients fostering and building strong, productive business relationships and referral sources
• Company went out of business March, 2015

Confidential, San Diego, CA

Support Advisor

• Created financial plans for clients focused on both asset accumulation and retirement distribution
• Actively managed all aspects of the sales cycle including prospecting, initial appointment setting, portfolio analysis, investment recommendations and closing. These activities were organized using salesforce.com and proprietary financial planning software
• Maintained proactive correspondence with existing clients to ensure ongoing review of their current investments and identification of new business opportunities
• Consistently worked beyond the scope of my requirements and responsibilities to broaden my knowledge and skill set while contributing to firm wide objectives
• Company-wide layoffs lead to the elimination of my position September, 2012

Confidential, San Diego, CA

Wealth Management Associate

• Prospected for high net worth clients through targeted phone, workshop and networking campaigns
• Traveled extensively throughout San Diego, Orange County and Los Angeles meeting with prospective clients
• Consistently met and exceeded weekly cold calling goals of 250 calls. Resulted in 5 - 8 initial appointments with qualified prospects ($500,000+ investible assets) per week
• Averaged 3 - 4 closed new client relationships per month
• Planned and executed monthly speaking events and workshop luncheons targeting high net worth prospects
• Assisted in constructing efficient investment portfolios consisting of mutual funds, ETFs, equities, fixed income, alternative investments, insurance products and annuities

Confidential, San Diego, CA

Mutual Funds Operations Specialist

• Worked directly with Financial Advisors and mutual fund company operations departments in establishing and troubleshooting the networking of direct business accounts with brokerage and managed accounts
• Cross-trained in related operational departments such as funds distribution, margins and commissions
• Performed quality control functions to ensure speed and accuracy of workflow

Confidential, San Diego, CA

Business Banking Specialist

• Sold depository accounts, credit products, payroll and merchant card processing services to small business owners
• Prospected for new business clients through outside canvassing, cold calling, establishing referral sources with centers of influence and asking for referrals from satisfied existing clientele
• Utilized customer relationship management (CRM) database and interactions with walk-in customers to strengthen relationships and capitalize upon cross-sell opportunities
• Closed an average of 3 - 4 new business relationships per week in a highly competitive business banking industry
• Consistently met and exceeded quarterly sales goals and consistently ranked in the top 10% of the San Diego Market