Financial Consultant Resume Sample


Financial Consultant Resume Sample

Complete Name
Complete Address
Phone # / Cell Phone #
E-mail Address

QUALIFICATIONS PROFILE

Remarkably astute, results-driven, and tenacious senior executive powered with broad-based experience in institutional equity sales and trading. Exemplify keen expertise in selling stocks and stock funds at the retail level coupled with outstanding fixed income and financing background. Demonstrate in-depth knowledge of equity market structure with exemplary skills in developing effective strategies to optimize efficiencies, reduce trading costs, and enhance relationships with financial institutions and capital markets. Accustomed to establishing win-win relationships with high net worth individuals by ensuring utmost satisfaction. Possess a keen eye for detail and extreme ability to multitask in a globally competitive and fast-paced environment. Bilingual in English and Japanese.

CORE COMPETENCIES

  • Risk Management and Securities Regulation
  • Competitive Market Research and Analysis
  • Continuous Process and Performance Improvement
  • Trend Analysis and Regulatory Compliance
  • Training, Leadership, and Team Building
  • Client Needs Assessment
  • Superior Presentation and Negotiation Skills
  • Organized with Strong Analytical Abilities
  • Articulate Oral and Written Communication
  • Problem Solving and Decision Making

EMPLOYMENT HISTORY

FINANCIAL ADVISER, 2009-2010
COMPANY QRS, MIDDLETOWN, NJ

Devote a great deal of time and attention to build relationships with clients, understand their needs, and provide the best investment advice. Vigorously participate in regional meetings, workshops, Saturday meetings, and community events to effectively market corporate products and services.

Notable Achievements:

  • Demonstrated strong consultative sales skills in selling equity mutual funds
  • Accumulated $600K in assets and successfully opened one account every week
  • Created innovative sales strategy with clients and prospects mainly in areas of global and domestic stocks and stock funds, as well as rising dividend stock fund
  • Expanded the business from 0 to 50 clients by conducting door-to-door selling and prospecting, earning trust, accumulating assets for retirement and educational accounts
  • Created a favorable public image to the company through outstanding marketing efforts, generating thousand of commission dollars, growing the region, increasing market share, and taking away clients from competitors

TRADER, SECURITIES LENDING, 2007-2009
XYZ GLOBAL INVESTMENTS, NEW YORK, NY

Managed liquidity and generated optimal open and term trades with $75B of assets per month. Designed profitable spreads on trades with US Corporate and FED Securities. Provided expert oversight in cash balances, credit limits, construction of collateral baskets, and trade flows. Evaluated stock, FX, rate, and commodity
market effects on corporate, treasury and credit markets. Facilitated training to junior members to meet trade agreement and settlement deadlines.

Notable Achievements:

  • Masterfully led day-to-day morning activities of Squawk globally on the trading floor for the team
  • Played a vital role in writing the daily market commentary for the desk
  • Fulfilled the role of MD in managing the desk on several week-long occasions
  • Entrusted by the MD of Desk to conduct analytical projects that include liquidity, assets, revenue

ASSISTANT TRADER, SECURITIES LENDING, 2005-2007
MNO BANKING, NEW YORK, NY

Rendered high level of assistance to the Senior Vice President in initiating the equity lending program, locating hard-to-borrow and blue chip stocks, providing liquidity for counter-parties shorting, and hedging. Set rates and prices for US Treasury Bills, notes, bonds, and US Equity trades. Balanced daily income and cash spreadsheets and verified trade tickets and trade documents. Supervised and developed two trading clerk’s daily work for data input accuracy and recordkeeping.

Notable Achievements:

  • Served as a significant contributor in enhancing net-income by 10% average per quarter
  • Amplified lending ratio by 9% to 98% average per quarter
  • Utilized strong negotiation skills for the profitable spreads on repo and reverse repo trades of $4B
  • Oversaw cash and credit lines of  $4B in repo tri-party re-investments
  • Instrumental in soliciting dealers directly for best bid rates in the overnight markets of $1B
  • Skyrocketed lending from $0 to $70M quarterly on-loan average
  • Attained $70M outstanding balance within six months through the initiation of US Equities lending
  • Generated incremental income (2-3% yield = +$1,500 per week) by assuming ad-hoc “special” trading duties (international) trades in addition to normal domestic trades
  • Recognized as an author of weekly market commentary on security lending and repo markets

SALES ASSOCIATE, 2004
COMPANY EFG, NEW YORK, NY

Supported Head of Sales in managing the sales team schedules and communicating with clients and analysts. Pivotal in conducting research and gathering economic data to produce daily Asian and Australian market reports. Expertly managed the sales process by analyzing and obtaining research and reviewing trade reports. Carried out all levels of administrative duties: coordinated road shows, scheduled events, created desk manual.

Notable Achievements:

  • Gained in-depth knowledge to equity IPO and syndication process
  • Ranked as top equity research analysts and commended for upgrading and downgrading
  • Actively accompanied analysts at buy-side meetings

SALES ASSISTANT, 2004
COMPANY GHIJ, NEW YORK, NY

Assisted the Managing Director in drafting and revising economic data and analyst comments for external distribution, as well as in the entire sales process. Assessed Japanese, US, and Asian markets and economic indicators. Handled administrative duties to support additional sales desks, capital markets, and
traders.

Notable Achievement:

  • Interfaced with equity sales traders, market maker, and equity sales team, and top-ranked Japanese equity analysts

REGISTERED REPRESENTATIVE, 2002-2003
COMPANY OPQ, RANCHO CORDOVA, CA

Diligently executed trades for active traders of equities and options. Assumed full responsibility in resolving and reconciling settlement issues. Served as liaison to provide clear and accurate responses to inquiries pertaining to markets, trading, and securities. Displayed unsurpassed expertise to meet productivity, availability, and quality expectations.

Notable Achievements:

  • Produced more than $150K in assets and provided exceptional service to customers to prevent them from withdrawing their assets
  • Delivered informative presentations regarding equity market differences, trading rules, settlement rules, rule 2520, options trading rules and regulations, and various equity order types
  • Earned further understanding of securities and stayed abreast of new products and services
  • Seamlessly completed all training and performance program requirements

PRIOR WORK EXPERIENCE

SENIOR, CLIENT SERVICES, US EQUITY CORPORATE ACTIONS, 1998-2000
Stuv Corporation, North Quincy, MA

EDUCATION

BACHELOR OF ARTS MAJOR IN JAPANESE AND ASIAN STUDIES
ABC University, Eugene OR: 1997

DIPLOMA IN JAPANESE STUDIES
WXZY University, Tokyo, Japan: 1995-1996
Awarded $15,000 scholarship from the Japanese Ministry of Education

PROFESSIONAL TRAINING

Edward Jones “Stairway to Success” Sales Training for Financial Advisors: 2009-2010

ACTIVITIES

Member, Japanese Society of New Jersey

TECHNICAL PROFICIENCY

Microsoft Office Suite: Excel, Access, PowerPoint, and Word | Bloomberg| Global One | DTC | Beta/VAX

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