Investment banker
Resume examples

Oversaw $5+ billion investment portfolio of complex fixed-income instruments including Collateralized Mortgage Obligations, Mortgage-Backed Securities, Asset-Backed Securities Hybrid ARMs, Corporate Debt, and Money Market Instruments. Established strategic initiatives to enhance liquidity, profitability while complying with asset/liability management objectives. Educated senior management regarding portfolio management and liquidity.

• Executed the investment operations and strategies of the bank streamlining portfolio structure, asset allocation, and risk profile.
• Provided leadership to all trade execution and portfolio servicing activities including trade review, settlement, and documentation, corporate actions, cash, and collateral management across a range of products including bonds, swaps, and exchange-traded derivatives.
• Monitored the compliance of financial instruments with established policies, procedures, and regulations.
• Served as a voting member of the Bank's Asset/Liability Committee for establishing strategic objectives and managing the Bank's risk profile.
• Presented results, strategies, and recommendations to Bank and association senior management, ALCO, and the Board of Directors.
• Instrumented processes for the ongoing assessment of liquidity and marketability of portfolio holdings.
• Worked closely with funding and derivatives personnel in the formulation and execution of debt and derivatives strategies that support the bank's asset/liability objectives.
• Created and maintained policies and procedures, regulatory compliance, and Sarbanes Oxley compliance documentation.

Provided personal, customized, financial counsel and wealth management services for an established full-service investment firm. Managed and retained full-service investment relationships for over 400 clients; provided and administered investment portfolio management, financial planning, wealth management, custodial, trust, and brokerage accounts, and retirement and 401K planning.

• Coordinated and oversaw entire client relationship; served as the single point of contact, monitored changing client investments/financial objectives, and periodically re-evaluated clients’ needs.
• Developed, expanded, and administered relationships with existing and potential wealth management clients.
• Identified, generated, and managed new business opportunities through prospecting, lead utilization, and local market and community involvement.
• Provided expert financial counsel to clients, guaranteed a consistently high level of service, achieved company profitability, and exceeded fiduciary standards.
• Mentored junior account representatives; provided leadership and direction on investment services and new business generation.