I construct, rebalance, and maintain wealth management client portfolios, as well as create, review, and submit trades to brokers for execution. I also conduct periodic asset allocation analyses and annual investment reviews to evaluate compliance of client portfolios with investment policy statements. I assist portfolio managers, financial advisors, and others with investment decisions related to the implementation of investment strategies to manage risk and tax efficiency. I also serve on a governance committee responsible for the review of non-model assets, asset concentrations, low-rated stocks, non-standard assets, and other related risk exposures in client accounts to ensure compliance of the business with regulatory requirements.

I reviewed and resolved escalated inquiries and complaints from brokerage and advisory clients regarding investment performance, account transactions, or other related concerns that required special handling, research, and evaluation to ensure that financial advisors, registered representatives, and others were adhering to applicable laws, regulations, and professional standards of practice.

I explained and discussed legal and regulatory requirements of inheritance and succession processes with beneficiaries, executors, successor trustees, and others, and exercised due diligence to verify the identities and authority of these interested parties. I also explained investment strategies designed to achieve changing investor goals as part of the inheritance and succession process, and discussed financial planning issues for beneficiaries, estates, trusts, and other entities.

I applied investment knowledge and industry experience to support brokerage and advisory clients, as well as financial advisors and other registered representatives, with complex problem resolution. I served as a subject matter expert for money movement, including electronic funds transfers, bank wires, direct deposits and debits, check deposits and distributions, and internal journals, and processed trades, transactions, and other account maintenance requests at point of service. I also performed complex problem resolution for issues involving money movement, account maintenance, account registration, and transfers of assets.

My work in this position paralleled work in my previous position, with additional responsibilities related to a premium service model. I provided service and support to individual and institutional investors with assets between $250 thousand and $1 million in client-directed brokerage and mutual fund accounts. I explained the use of web-based stock research tools to find information on markets, sectors, and industries, as well as individual company performance, research, and analysis. I also helped clients construct stock screens to find and sort stocks according to fundamental and technical performance indicators such as market capitalization, return on assets, price-to-earnings ratios, support and resistance levels, moving averages, etc. I also executed trades of equity securities including common and preferred stocks, exchange-traded funds, and mutual funds.

I provided service and support to individual investors with assets up to $250 thousand in client-directed brokerage and mutual fund accounts. I explained the use of web-based stock research tools and helped clients construct stock screens to find and sort stocks. I also executed trades of equity securities including common and preferred stocks, exchange-traded funds, and mutual funds.