Experience

Boston Private Wealth

• Australia
• Financial Services
• 1 - 100 Employee

• Client Advisor Associate

  • Mar 2017 - Present



Independent Portfolio Consultants

• United States
• Financial Services
• 1 - 100 Employee

• New Accounts Manager

  • Oct 2008 - Mar 2017

  Oversaw team of New Accounts and Advisory coordinators to ensure seamless integration and adjustments to 400+ high net worth accounts per year, worth $600+ million. ▪ Managed relationships with high net worth clients and money managers, leading them through the new client acquisition process, including client investment profile, compliance needs, and funding/trading requirements ▪ Actively informed and advised money managers on trading and funding status of client accounts; revised… Show more Oversaw team of New Accounts and Advisory coordinators to ensure seamless integration and adjustments to 400+ high net worth accounts per year, worth $600+ million. ▪ Managed relationships with high net worth clients and money managers, leading them through the new client acquisition process, including client investment profile, compliance needs, and funding/trading requirements ▪ Actively informed and advised money managers on trading and funding status of client accounts; revised investment policy statements and fee schedules based on client change requirements. ▪ Engaged with Compliance department to stay informed of changing US financial services regulations (e.g., FINRA, SEC requirements) and incorporate into an efficient new client account process. ▪ Worked with financial advisors and high net worth clients to ensure that investment portfolio is aligned with client needs (e.g., risk profile, age, income, cashflow requirements, investment restrictions). ▪ Trained operations, compliance, and marketing personnel on new account and client advisory processes. ▪ Improved percentage of client accounts found with any financial or compliance deficiencies from 28% to 2%.

• Registered Associate

  • Sep 2003 - Oct 2008

  Managed new client accounts for funding and trading, and worked with money managers to resolve related issues. ▪ Processed incoming ACAT/Non-ACAT transfers and internal journals, notified money managers and financial advisors of asset movement, handled opening/closing of accounts. ▪ Updated client Investment Policy Statements to reflect revised benchmarks, distributions, stock restrictions. ▪ Wrote quarterly commentaries detailing account funding, benchmarks, performance and trading.



Morgan Stanley

• United States
• Financial Services
• 700 & Above Employee

• Registered Client Service Associate

  • Nov 2001 - Apr 2003

  Worked with top performing financial advisor ($100M+ AuM), specializing in client relations and market research. ▪ Performed financial analyses such as: income calendars, cost basis estimates, gain & loss summaries, while working within Morgan Stanley’s proprietary operational criteria. ▪ Interacted with high net worth asset management clients daily, answering their account and operations inquiries. Worked with top performing financial advisor ($100M+ AuM), specializing in client relations and market research. ▪ Performed financial analyses such as: income calendars, cost basis estimates, gain & loss summaries, while working within Morgan Stanley’s proprietary operational criteria. ▪ Interacted with high net worth asset management clients daily, answering their account and operations inquiries.