Wealth Management Operations Resume Sample

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Brandi Wyman
8395 Carroll Flat,  Dallas, TX
+1 (555) 608 6962

Work Experience

Wealth Management, Operations Manager
10/2016 - PRESENT
San Francisco, CA
  • Prepares project reports, progress summaries, statistical analysis, and related data
  • Attend local meetings with leadership or staff as available and drafting meeting notes
  • Telephone coverage, (Ex. answer phones, take accurate messages, know executives’ whereabouts at all times, handle urgent/confidential calls with appropriate judgment; back-up other lines, as needed.)
  • Update and maintain senior management teams’ shared calendar
  • Navigate Firm’s resources, interface with various departments on behalf of executives to collect information, respond to requests, obtain services
  • Responsible for distributing executives’ mail, prioritize; arrange messenger and overnight package services
  • Escalate any risk issues to management LI-IN1
  • Managing the pipeline, inventory and workflow of new Obligations assigned to our businesses
Wealth Management Operations
05/2011 - 06/2016
Phoenix, AZ
  • Partner with Operations leadership to review data analytics turning the data into an action plan to improve profitability and service quality
  • Ensure timely and accurate delivery of reporting on all levels, from associate scorecards to high-level group KPIs
  • Drive ongoing development of alternative workforce strategies. Support operations leadership team to execute on strategic initiatives
  • Lead the development of operations divisional budgets and reforecasts
  • Align call handling to segmentation strategies
  • Build capacity models for client interactions, supporting processing and work flow efforts
  • Monitor and approve all operations hiring by delivering long and short-term staffing outlooks, monitoring requisition activity, and confirming all onboarding based on forecasted unit cost targets
  • Responsible for workforce management function for operations division including scheduling, intra-day monitoring, and optimization of long and short-term resource allocation
  • Attend client calibration meetings to identify areas for improved service and communicate those improvements to the operations senior manager
Wealth Management Operations Intern
01/2007 - 03/2011
Houston, TX
  • Coordination of Obligation review, mapping and documentation with the program team and business managers
  • Updating and maintaining information in the Enterprise Library Application (ELA), spreadsheets and other databases where obligation reference data is stored
  • Developing our business specific procedure and process flow
  • Communicating program status and information regularly with our management team
  • Oversight and governance of other control related activities possibly including but not limited to Third Party Oversight, Privacy, and Inter Affiliate Services
  • Serve as a mentor by providing coaching, career development, and inter-departmental relationship management for the team
  • Develop statistical/staffing models for internal product/process changes such as regional integration initiatives
  • Deliver ongoing reporting and analytics of client/advisor data and support ad-hoc analytics and predictive modeling ensuring efficient use of front line talent
  • Responsible for strategic planning and execution to enhance profitability, productivity and efficiency throughout service center operations area


Temple University
2001 - 2006
Bachelor's Degree in Relevant Discipline

Professional Skills

  • Strategic Leadership responsibility for front to back Alternative Investment processing functions as well as Industry facing DTCC and Asset Manager Relationship management support
  • Client Management skills: Demonstrated ability in being flexible and collaborating effectively with stakeholders and colleagues at all experience levels
  • Client Relationship skills: Excellent interpersonal skills and ability to interact and build relationships with internal and external clients. -
  • Teamwork skills: Strong ability to prioritize; work efficiently and accurately under pressure in a fast paced, multi-tasking environment
  • Excellent interpersonal skills and the ability to manage relationships with all levels
  • Strong customer relationship, communication and presentation skills
  • Develop the knowledge, skills and experience of team members

How to write Wealth Management Operations Resume

Wealth Management Operations role is responsible for software, leadership, organization, recruiting, finance, credit, training, integration, database, reporting.
To write great resume for wealth management operations job, your resume must include:

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

Contact Information For Wealth Management Operations Resume

The section contact information is important in your wealth management operations 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 Wealth Management Operations Resume

The section work experience is an essential part of your wealth management operations 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 operations 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 operations position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Wealth Management Operations resume experience can include:

  • Balance producing strong results with proper risk management, strong compliance record in previous position(s)
  • Proven experience in a leadership capacity, ability to motivate at an individual and team level
  • Working with the business, technology, and operations to determine priorities, schedule of releases, and requirements gathering
  • Proven organizational and multi-tasking ability and ease working within tight deadlines while maintaining a calm, professional personable demeanour
  • Experience in documentation review & maintenance for account opening and client data update for banking customers
  • Hands-on experience in account opening and administration where at least 3 years in managerial role

Education on a Wealth Management Operations Resume

Make sure to make education a priority on your wealth management operations 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 operations 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 Operations Resume

When listing skills on your wealth management operations 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 operations skills:

  • Able to effectively prioritize, delegate and train to enable and empower your team
  • Ensuring the day to day processes are carried out accurately and effectively
  • Manages the performance of the team members by effectively coaching and providing day to day feedback
  • Solid experience in account opening and administration including individual, corporate and trust accounts
  • A proven leader with experience leading large teams (over 50 people)
  • Experience with process innovation, design, and technology with proven success delivering complex, large scale initiatives

List of Typical Experience For a Wealth Management Operations Resume


Experience For Wealth Management, Operations Manager Resume

  • A service expert, understanding what it takes to create a positive and productive service experience for clients
  • A good partner, working with stakeholders and internal clients to build rapport and trust in the group
  • Innovative and always looking for ways technology and process improvements can make your team more efficient and effective
  • Private banking knowledge is preferable. Digital mindset and experience in Avaloq would be an advantage
  • As manager or team lead with a demonstrated ability to provide leadership and mentoring
  • Fosters innovative thinking; demonstrate intellectual curiosity

Experience For Product Group Services VP-wealth Management Operations Resume

  • Financial Services experience, preferably in Wealth Management and related products
  • Operations management experience, particularly around risk/control disciplines
  • Utilizes knowledge, experience and expertise to assess current state and strategize process improvement
  • Align team’s priorities to the broader business strategy
  • Develop a good knowledge of the customer base, with sensitivity to specific customer needs
  • Project management experience

Experience For Wealth Management Operations Site Lead Resume

  • Monitoring, assessment and testing of key control activities performed by functional teams
  • Driving continuous improvement efforts, while reducing risk across all touch-points in the trade path
  • Obtaining the Series 99 within 120 days of employment
  • Training of Front office staff on legal documents and KYC related subjects
  • Provide account servicing support including holdmail and return mail handling, PI renewal and other related servicing and reporting
  • Knowledge on regulatory requirement for investment products settlement, understanding of accounting concept, trade settlement & process re-engineering
  • Passionate about developing other leaders and communicating vision and strategy to your team
  • Manage the client account opening (SDA) team to support client onboarding in document review, client static data update and maintenance

Experience For Wealth Management, Operations Manager, VP Resume

  • Oversee and monitor the entire KYC process including coming due and overdue KYC cases
  • Drive automation, data remediation and process re-engineering initiatives to improve quality and productivity
  • Monitor ongoing support needs to address changes and gaps
  • Actively monitor processing volumes, breaks, and service levels and analyze trends against baseline metrics
  • Oversight of Statements, Quality Control, RCSA, Document Management, Resiliency Management, Transaction Monitoring, System Breaks and errors, and Team projects
  • Establish processes to facilitate automation and a paperless environment, including conversion of paper statements to Online or Electronic Access
  • Make important policy, planning and strategic decisions
  • Promote partnership by fostering a shared purpose, trust and teamwork across teams

Experience For Global Wealth Management Operations Derivatives Partner H6 Resume

  • Act as sparring partner for Client Advisors in all AML / KYC related topics
  • Support and advice Client Advisors in completing the KYC information in line with DB Group standards
  • Establish a culture of innovation and continuous improvement
  • Partner with business, operations and technology colleagues for timely delivery of projects within scope, budget and time. Resolve roadblocks and work with Technology to maximize quality of code delivered
  • Develop and leverage relationships with critical partners in Technology, Client Service, Compliance, and Legal

Experience For Private Banking Lending Operations Team VP-wealth Management Operations Resume

  • Partner with the Risk and Controls team to establish a quality assurance program to include methodology and sampling methods and ensure compliance with policy and regulatory requirements
  • Coordination of incident reporting and tracking of issues/action items
  • Risk metric reporting, analysis, and escalation
  • Organization and reporting of key risk topics for business and entity stakeholders
  • Adhoc projects and initiatives
  • Serve as the central point of contact for Front Office and Implementation teams globally
  • Provide end to end trade flow support across all product channels globally

Experience For Wealth Management Operations Service Professional Resume

  • A Series 99 registration but preferably a Series 7 and 9/10
  • Cultivates relationships across project stakeholders and impacted teams
  • Develops customized presentation materials and status reports
  • Proficiency with Microsoft Office Power Point, Word, Excel
  • Process & quality check all scanned documents
  • Manage a team of individuals across dual locations, through fostering a collaborative team environment, with a strong focus on strengthening knowledge within the team
  • Supervise processes in order to ensure effective controls and procedures are adhered to on a daily basis
  • Escalation contact for issues and discrepancies with insurance carrier partners, counterparties, branches, and other operational teams
  • Identify potential cost savings opportunities and re-engineer operating processes through lean or technology enhancements and lead process improvement initiatives

Experience For Head Asset Servicing for Wealth Management Operations Resume

  • Support customer account opening and onboarding under Hong Kong Wealth Management Operations (WMO) to ensure the relevant processing/reporting are properly processed within pre-defined cutoff time and timely escalation for irregular cases detected, if any
  • Lead and implement various change initiatives and projects in terms of system and processing procedure by considering operation flows, markets, upcoming regulations and controls' requirements
  • Liaise with business partners on user requirements, participating and monitoring the UAT status to ensure achieving project timeline. Drive, provide constant updates about the progress of each project and present it accordingly
  • Strong awareness on operation risks and controls mindset with strong market operation knowledge
  • Work with senior business stakeholders to review Wealth Management Operations related service concerns, system and related service level
  • Review and update SOPs regularly in order to ensure compliance with internal and external guidelines/regulations
  • Work with Business partners on NPA for new product/service implementation

Experience For Head Asset & Wealth Management Operations Resume

  • Provide inspired leadership for the organization
  • Develop, implement and review operational policies and procedures
  • Help promote a company culture that encourages top performance and high morale
  • Manage projects and/or processes in support of broader functional strategy
  • Promote a strong control environment to evaluate, manage and conduct new and existing business by adhering to risk/controls expectations, procedures and processes
  • Work with senior stakeholders

Experience For Wealth Management Operations Executive Assistant Resume

  • Build consensus and relationship among managers and senior management
  • Provide expert advice to Client Advisors on complex account structures and KYC/AML cases the business is confronted with
  • To enhance Client risk assessments and various MIS reports for management reporting to facilitate review in managing risk and strengthening the control procedures and processes
  • To understand the Bank Global KYC/ AML Standards, Account Documentation procedures, Local Laws and Regulations and implement related control processes
  • Escalation of operational, regulatory and other risks to line manager and functional leads as appropriate; contributes to the development and implementation of mitigation or control solutions
  • Involved in design and implementation of strategies to ensure continuous process with the WM COO and Change functions to scope and define change projects to deliver process and performance improvement

List of Typical Skills For a Wealth Management Operations Resume


Skills For Wealth Management, Operations Manager Resume

  • Strong track record of building and maintaining service relationships the willingness to go above and beyond is second nature
  • Operationalize the delivery of client experience and segmentation strategies across CWM service, sales & support teams across CWM operations
  • Flexibility to travel often in the beginning relationship building phase and as needed to sustain the relationship
  • Make sure administrative tasks (like holiday planning and working time) comply with internal policies and legal requirements
  • Stay knowledgeable on domestic and international policies and regulations for determining how they impact best practices
  • Proficiency with Microsoft Office applications including Microsoft Word, Access, Excel and PowerPoint required
  • See that the team is collaborating with internal partners to deliver the best service
  • Responsible for Analysts’ coaching and career development

Skills For Product Group Services VP-wealth Management Operations Resume

  • Build Omni-channel execution model for client interaction, sales and servicing with the CWM Operations business model (email, social media, text, phone)
  • Strategic Leadership of approximately 60+ staff
  • Development of a future state target operating model for operational and service functions and Re-engineering of the Operating Model to support the target future state strategy
  • Experience in operational transformation and driving improvement, including development of target operating models, finance structures, design and implementation of processes and supporting systems LI-IN1
  • Take ownership and manage escalated items and participant inquiries
  • Deliver metrics that support the development of guidelines and policies for team representatives to improve performance and deliver the highest possible service standards to our clients
  • Ensures representative accountability for meeting Quality Standards, and other Key Performance Metrics
  • Provide regular performance feedback and direction to direct reports both individually and as a team

Skills For Wealth Management Operations Site Lead Resume

  • Work with direct reports to provide career development guidance/opportunities
  • Serve as the internal and external product champion for fee based related products and foster the relationships with all internal sales and product channels
  • Possess understanding of how an individual’s processes impact the overall client experience. Demonstration of a thorough understanding of Client Reporting, including statement presentation, tax reporting, and Gain and Loss is required
  • Arrange all aspects of travel. Including keeping executives’ travel profile up-to-date, manage approvals for any travel. Arranging flights, hotels, rental car and sedan service, currency exchange using agency and online services
  • Proven experience overseeing high risk processes LI-EM1
  • Operations and/or Field experience
  • VP Level, ideally a top performing SME in a functional Operations area or an existing service role in the Field (seasoned CSA, Business Service Officer or Service Associate)

Skills For Wealth Management, Operations Manager, VP Resume

  • Strong ability to uncover the root cause of an issue
  • Self-starter with strong ability to work with minimal oversight
  • Familiarity of complex needs of UHNW clients
  • In depth knowledge of WM Operations and ability to easily build and maintain a network are critical
  • FINRA Series 99 license required within 120 days for VP’s
  • Exceptional leadership and influencing skills, with the ability to collaborate across a highly matrixed organization with ability to interact, influence and persuade across a variety of business leaders
  • Demonstrated ability attract, motivate and lead talented professionals to deliver outstanding results; success leading and influencing cross-functional teams
  • Collaborates with Business and Technology partners to ensure appropriate Operations stakeholders are engaged in new Digital projects and/or project enhancements
  • Reviews upcoming releases and provide necessary project information and timelines to Operations teams to identify impact and level of engagement

Skills For Global Wealth Management Operations Derivatives Partner H6 Resume

  • Develops, implements and communicates Operations specific project plans, testing strategies and implementation runbooks
  • Conducts weekly and ad-hoc meetings to address project specific items
  • Coordinates Operations User Acceptance Testing across impacted teams and lead UAT efforts, including daily metrics reporting, weekly status reporting, defect management, release management and organizational readiness
  • Reports project status to Senior Management
  • Recruit, train, cultivate and retain great people and great leaders
  • Partner with stakeholders throughout the organization to build relationships and deliver service excellence to our clients (internal and external)
  • Manage group activities to achieve performance targets, operational service level agreements and quality standards

Skills For Private Banking Lending Operations Team VP-wealth Management Operations Resume

  • Maintain control through consistent execution of the risk management framework
  • Conduct regular prescheduled 1 on 1s or other meetings with your leaders and occasional 1 on 1s and focus groups with your service representatives
  • Responsibility for driving service excellence across your teams and delivering the breadth of talent and expertise throughout the home office to support our client and colleagues throughout the U.S. branch network
  • Important role in managing productivity, attrition, and recruiting to ensure SLAs are met within budget targets
  • Definition and supervision of Analysts’ performance
  • Continuously identify customer-focused process improvement opportunities; map workflow and processes
  • Participate on global, regional, and local projects as requested

Skills For Wealth Management Operations Service Professional Resume

  • Experience with Call Forecasting, Scheduling, Pooling/Routing, Analytics, Agent Need-Capacity planning / reporting and working knowledge of various Workforce Management Systems, e.g. Aspect, Varasset, Genesys
  • Demonstrated ability to network, partner and influence leaders in various parts of the organization in order to move the business forward
  • Excellent communication skills, highly professional and experienced in creating and presenting information to large audiences at various levels of the organization
  • Extremely organized and detail oriented, demonstrated knowledge of Windows, Microsoft Office software (Word, Excel, PowerPoint, Access, etc.) and various file manipulation skills
  • Think strategically and tactically, to design and implement deliverables, with the flexibility to adjust to new innovations, regulations and priorities
  • Lead the end-to-end planning, development and execution of CWM Operations Service and Sales Evolution strategic vision
  • Implement resource, governance and organization structure to deliver the transformational initiatives
  • Maintain competitive knowledge to create and adjust Service and Sales strategies as needed in the competitive landscape

Skills For Head Asset Servicing for Wealth Management Operations Resume

  • Lead cross functional area efforts to align potential international opportunities
  • Drives Technology design capabilities to ensure CWM Ops requirements and selection match needed functionality
  • Management of Technology implementation team to ensure the buildout of these tool sets are prioritized and completed correctly, reporting and necessary items are aligned to it, also responsible for the successful delivery of these items to our teams (i.e. UAT, conduct post mortem analysis after feature/release implementation, etc.)
  • Development of business design team to drive adoption and utilization of proper tool sets for our servicing, sales, and support teams across CWM Operations and tracking of industry trends
  • Collaborate with other team members across the Wealth Management Operations and key stakeholders so that strategy, messaging, branding and execution are consistent and coordinated
  • Responsible for leading, organizing and directing a major segment of the business operations area for client onboarding and maintenance. Responsible for the management of FINRA licensed individuals
  • Assists with developing plans for managing peaks/valleys in support work

Skills For Head Asset & Wealth Management Operations Resume

  • Assists in defining critical success metrics for the organization
  • Assists with capacity forecasting and triage/staff alignment against measured delivery requirements
  • Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, OCC) requirements. Evaluate and change current operational processes to comply with regulatory change
  • Recommending and implementing technology enhancements to improve effectiveness and efficiency of services and systems
  • Demonstrated ability to network, partner, and influence leaders in various parts of the organization in order to move the business forward
  • Responsible for managing resources and operating expenses
  • FINRA Series 7 and Series 24; in addition to meeting FINRA continuing education requirements

Skills For Wealth Management Operations Executive Assistant Resume

  • Work with the senior / executive management to assist in developing group-wide business operations plans and strategy efforts
  • Responsible for the direction, training, and development of subordinate managers
  • Responsible for analyzing operations and efficiency of the unit
  • Organize and lead a staff to evaluate current operations methods and strategies and implement change and improvements
  • Inspires “raise the bar” performance and champions an inclusive work environment. Develops a strong leadership team and drives a culture of merit based recognition, connecting accomplishments to business goals and strategy. Effective oversight and motivation of the team in India

List of Typical Responsibilities For a Wealth Management Operations Resume


Responsibilities For Wealth Management, Operations Manager Resume

  • Knowledgeable and experienced in operations, account documentation, risk management, Sophisticated AML/KYC knowledge and experience in banking or financial industry for at least 3-5 years
  • Certifications an advantage
  • Conduct Document research
  • Foster a risk prevention mind-set: Stay abreast of newly implemented regulatory requirements and manage changes to business rules, technology enhancements, or processes. Ensure robust and proactive CSA, Business Resiliency, Client Confidentiality, Escalation, Procedure Governance, and Access Management practices. Ensure early warning metrics and compliance with various regulations

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