Investment Advisory Resume Sample

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Mckenna Emmerich
1347 Crona Freeway,  Dallas, TX
+1 (555) 915 7822

Work Experience

Investment Advisory Trading Team Lead
09/2016 - PRESENT
Detroit, MI
  • Review and prepare financial reports
  • Excellent communication skills (listening, provide feedback and facilitate group communication)
  • Experience within a sales support role with direct client contact
  • CPA certification, Member of the Bar, professional designation from the IPT or foreign equivalent certification
  • Identify gaps in platform offerings by understanding competitors’ platforms as well as additions/revisions identified by Advisory, Research, or reduce risk
  • Series 7,66 and 24 required (24 can be obtained within 6 mos)
  • Strong capital markets and sales expertise
  • Strong leadership skills and experience managing a team
Wealth Management Investment Advisory Attorney
04/2014 - 07/2016
New York, NY
  • Develops and delivers training materials and presentations as needed
  • Maintain the firm’s investment adviser registration, including filing ADV amendments
  • Have a strong understanding of how HFF's lines of business work together
  • Develop a comprehensive understanding of the various investment advisory programs, including the platforms and technology that supports them
  • Provide regulatory compliance advice to the Consulting Group business in support of the covered advisory programs
  • Assist the business with the development of policies, procedures and other controls in connection with the advisory programs
  • Work with Compliance testing to identify and develop tests of advisory programs and functions
S&P Investment Advisory Services Summer Internship
02/2007 - 02/2014
Chicago, IL
  • Excellent organizational, problem solving and project coordination skills
  • Think strategically and collaborate across business units
  • Conduct testing of processes and controls supporting the Firm’s Investment Advisory platform
  • Collaborate with sales and marketing on campaigns to increase awareness of SPIAS’ investment strategies
  • Help document and follow up on sales leads generated by SPIAS’ Investment Consultant team and website
  • Help Investment Consultant team coordinate conference calls with wholesalers and financial advisors to discuss SPIAS investment strategies
  • Help prepare weekly action plans for the team and manage it daily to measure success rates
  • Review and update employee’s time cards for accuracy on a bi-monthly basis
  • Help develop and execute a digital-first Advisory content strategy for Citi’s house view communications (e.g. Market Insights, Investor education) across APAC region (incl. EMEA)


University of Texas at Arlington - Fort Worth Campus
2001 - 2006
Bachelor's Degree in Real Estate

Professional Skills

  • Strong analytical and problem solving skills Initiative acting and dedicated commitment as well as excellent organizational skills andkeen perception
  • Strong verbal and written communications skills; Strong organizational skills; Ability to work independently with minimal supervision
  • Strong quantitative, research and analytical skills
  • Strong presentation skills in English
  • Strong research, investigative and interpretation skills
  • Exceptional level of skill in use of MS Office Excel and Powerpoint, including creating charts, tables and templates
  • Experience in an analytical role in finance, lending, asset management, development, underwriting within the commercial real estate industry

How to write Investment Advisory Resume

Investment Advisory role is responsible for education, research, modeling, reporting, database, training, finance, supervision, presentation, excel.
To write great resume for investment advisory job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Investment Advisory Resume

The section contact information is important in your investment advisory 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
  • Email
  • Telephone number

Work Experience in Your Investment Advisory Resume

The section work experience is an essential part of your investment advisory 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 investment advisory responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular investment advisory position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Investment Advisory resume experience can include:

  • Strong time management skills to prioritize deadlines
  • Drive ongoing strategy through participation in Steering Committees, providing SME on all matters related to this business, representing CTR’s interests
  • Participate in special projects relating to Consulting Group businesses, including projects that have an impact across all or multiple programs
  • Responsible for complex financial modeling utilizing market, HFF data, and comparable sales pricing on commercial real estate
  • Assist in development and maintenance of training and standard operating procedures supporting the investment advisory business
  • Deliver Compliance training to other employees, including financial advisers, branch supervisors and home office business owners

Education on an Investment Advisory Resume

Make sure to make education a priority on your investment advisory resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your investment advisory 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 Investment Advisory Resume

When listing skills on your investment advisory 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 investment advisory skills:

  • Experience in Financial Services industry and good understanding of WealthManagement/Advisory concepts
  • Work effectively with different groups within Compliance
  • Strong understanding of financial markets, Wealth Management advisory process and products
  • Experience with internal reporting
  • An equivalent combination of education, experience and/or training as approved by Human Resources
  • Investment related experience within an analytical or research context

List of Typical Skills For an Investment Advisory Resume


Skills For Investment Advisory Trading Team Lead Resume

  • Experience in developing content for social media channels
  • Have a strong understanding of how HFF’s lines of business work together
  • Experience in brokerage / investment industry
  • Strong knowledge of the Investment Company Act and Investment Advisor’s Act of 1940
  • Editorial experience on social media platforms

Skills For Investment Advisory Trading Associate Resume

  • Extensive experience (7+ years) with Investment Advisers Act of 1940, law firm, Registered Investment Adviser or dual registered broker-dealer
  • Experience in a financial analysis environment in the commercial real estate industry
  • Supporting advisor in the regular review of clients’ portfolios to identify client needs for Team of Experts services
  • Provide activity reporting for the group and management the client relationship management reporting
  • Contribute to position Citi Consumer APAC as a leading Wealth Management player regarding global market insight
  • Frequent vendor communication regarding adjustments, monthly billing, and other issues that arise
  • Assist the IA CCO in conducting and documenting the annual review of the investment advisory policies and procedures
  • Serve as central point of contact for team helping coordinate and lead team based initiatives
  • Independent, systematic and structured approach and way of working (e.g. Use Cases,Activity Diagrams, UML)

Skills For Chief Compliance Officer, Investment Advisory Resume

  • Partner with Communications on an ongoing communication strategy to Financial Advisors and clients
  • Create clear and concise written correspondence to Waddell & Reed Advisors regarding NIGO deficiencies
  • Manages department, associates, budget, reporting structure, and division of responsibilities within Compliance department
  • Manages firm wide compliance programs, conducts activity and exception review, continuing education programs, as well as complaint review and response
  • Develops, reviews, and adjusts the department’s supervisory procedures to adapt to changing regulatory and business environments
  • Develops systems and procedures to minimize the firm’s risk exposure while balancing business concerns
  • Maintains the required compliance systems for the firm while fostering a positive relationship with department employees and management
  • Coordinate information regarding market data, occupancy data, expense analysis, aerials, maps, rent/sales, and comparable's

Skills For Manager, Investment Advisory Compliance Unit Resume

  • Update and maintain sale comparable's for all markets utilizing multiple information services to industry sources
  • Provide analytical and research support to the senior advisors within the investment advisor practice
  • Work on special projects for wealth management and ad hoc projects for the project lead
  • Respond to general equity product related and/or special inquiries
  • Office work with computers, copiers, and scanners
  • Office ? work with computers, copiers, and scanners
  • Office – work with computers, copiers, and scanners
  • Semi-annual and annual PAR’s
  • Work on special projects for wealth management and ad hoc projects for the team and project lead

Skills For Manager, Investment Advisory Supervision Resume

  • Respond to general product related and/or special inquiries
  • Compliance and legal procedures in the financial services industry
  • Concepts, practices and procedures of the financial services industry
  • Deliver digital-first Wealth Management Advisory content to strengthen Citi’s Wealth Management Advisory content proposition for affluent and HNWI clients
  • Support client-centric, model-portfolio based Advisory model with relevant market insights & education material
  • CSC / other industry courses required
  • Speak, read and write Spanish is an asset
  • Take initiative and work on multiple tasks or projects at one time
  • Experience in the financial industry or financial journalism, preferably in an investment strategy or investment specialist role or as a financial journalist

Skills For Wealth Management Investment Advisory Compliance Coverage Officer Resume

  • Absolutely fluent in English, both written and spoken
  • Understands complex market views and analysis, with the skill to synthesize and explain them via well written, easy to understand market commentary, video scripts, talking points, education material
  • Strong knowledge of the Investment Advisor’s Act of 1940
  • Quickly gain knowledge of investment advisory programs and service
  • Supervise a team of licensed associates, who perform the day to day operational functions of investment advisory oversight
  • Analyze and deliver reports to Sr. Management on business

Skills For Wealth Management Investment Advisory Attorney Resume

  • Partner with internal business partners, as well as Field Management and Financial Advisors on escalated issues
  • Support product and infrastructure development initiatives; managing detailed project plans, defining requirements and ultimately ensuring delivery of solutions
  • Build detailed knowledge of JPMPI business, products, platforms and operating models to define new operating models and processes
  • Work with internal partners across business, including middle office, operations, legal, compliance, portfolio management, risk and control to fully understand and document business challenges and solutions
  • Support monitoring and governance of specific programs as assigned

Skills For Wealth Management Compliance Investment Advisory Testing Officer Resume

  • Supervise a team of 4-5 licensed associates, who perform the day to day supervision of investment advisory wrap fee programs
  • Assist in development and maintenance of training, standard operating procedures, and reporting to support the investment advisory wrap fee programs sponsored by Pruco Securities, LLC
  • Analyze and deliver reports to Field Management and Sr. Management
  • Drive day to day tactically in line with the ongoing strategy through participation in projects, providing SME on all matters related to wrap fee programs sales practices and supervision
  • Prepare investment advisory packages and submissions for commercial real estate transactions, including research, financial modeling and composition of executive summaries

Skills For Investment Advisory Associate Resume

  • Prepare investment advisory packages and RFP submissions for commercial real estate transactions, including research, financial modeling and composition of executive summaries
  • Create adjustments to be sent to the adjustments team for processing and validate adjustment requests from the Back Office for Investment Advisory Accounts, reviewing upon completion for accuracy
  • Perform tier 2 support via phone and email to advisors and home office employees, following escalation process if further escalation is required, ownership of any items escalated and responsible for communication of resolution to proper parties
  • Remain thoroughly trained and knowledgeable on all processes performed by the Investment Advisory team
  • Identifies and manages regulatory risks associated with specific division and/or department assigned
  • Represents Compliance on major firm level projects and/or initiatives

Skills For Am-wmis-private Investment Advisory Associate Resume

  • Responds to and oversees responses to regulatory inquiries
  • Prepare offering memorandums and/or sales packages for commercial real estate transactions, including research, financial modeling and composition of executive summaries
  • Enhance the current process for tracking and reporting on business initiatives, control enhancements and Internal Audit and Compliance testing engagements focusing on issues raised by Compliance coverage
  • Collect metrics data from the team for internal reporting
  • Execute service requests

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