Director/Controller Resume
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Dynamic, results oriented, high energy leader with a law degree and years of experience in Fortune companies working with high net worth individuals and executives in the financial services industry. A business professional with a proven success in sales, strategic planning and analysis, profitability and budget planning, management and development with exceptional oral and written communication skills. Ability to build trust among clients, peers and executives. Exceeds client and company expectations consistently.
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STRATEGIC PLANNING BUDGETING COACHING & DEVELOPMENT
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BUSINESS DEVELOPMENT SALES PROJECT MANAGEMENT
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CUSTOMER RELATIONSHIPS COMMUNICATIONS SALES TRAINING
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Director, Southwest Region Controller
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Consultant to Regional Manager of the Southwest Region ( mm+ revenue) and market managers on P&L management and growth, profitability and alignment with the firm’s strategic objectives. Provided monthly reporting and analysis on profitability, key performance indicators and Regional rankings. Tracked and reported on Financial Advisor headcount, performance and profitability. Managed real estate footprint by analyzing capacity, capital spending, and expenses.
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- Designed and led expense management initiatives in the Southwest Region through insightful communications, strategic analysis, tactical programs and education that resulted in a % reduction in expenses and in the top three regions in profitability in first quarter .
- Created a focused strategic analysis for Business Development Coaches that increased the overhang of new assets by %.
- Selected by Senior Management as one of mentors in the firm (U.S.) to provide guidance to lower end employees in the Southwest Region.
- Managed a budget of $ mm.
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Director, Strategic Initiatives
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Researched and investigated viable business expansion opportunities such as Long Term Care, Low Fee annuities, Individual (k), patents, and Registered Investment Advisor distribution channel. Created business plans, white papers and executive summaries for Executive Management team.
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- Responsible for the development of the Individual (k) annuity. As of February , the product had brought in $ mm in new assets.
- Created a “strategic scorecard” that resulted in streamlining the product proposal process and developing more strategic projects.
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Financial Advisor, Global Private Client Group
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Provided comprehensive wealth management strategies for private clients and small businesses using asset allocation modeling, retirement planning, education planning, insurance, liability management (residential mortgages) and managed solutions (accounts).
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- Tasked by senior management with creating and developing strategies to recruit, attract, retain and promote African American Advisors within Merrill Lynch.
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Recruited, trained and educated Private Client Service professionals in all practical aspects of wealth management programs and strategies. Identified, developed and implemented strategies to generate new business and increase revenue to the division.
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- Developed the business case and financial analysis to support the introduction of a Wills and Trust file targeted to capture new assets. In months, it had resulted in over $ mm in new assets.
- Managed, counseled and coached employees that resulted in % retention rate.
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Vice President/Senior Relationship Manager, Private Bank
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Strategically prospected and opened new relationships with high net worth individuals. Provided integrated delivery of financial services including deposit products, investment management, personal trust, tax and estate planning, and customized lending.
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- Trained other Private Bankers in investment management and managed account solutions and gathered over $ mm in new assets.
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Private Wealth Management Professional
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Developed and managed relationships with clients with investable assets in excess of $ mm. Implemented investment solutions and strategies for private clients utilizing sophisticated asset allocation modeling, single stock risk management focused on b transactions, equity, fixed income, cash management, alternative investments, private equity and capital markets
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- Managed a portfolio of clients in excess of $ mm. \\r\\n
- Introduced and converted over $ mm commission based assets to fee based advisory wealth management business.
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PROFESSIONAL LICENSES
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FINRA Series , , and licenses, California Insurance License, Member, California State Bar
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EDUCATION
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University of California, Los Angeles School of Law
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Juris Doctorate Emphasis in Finance, Tax, and Securities Law
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Spelman College, Atlanta, GA
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B.A. Economics Minor in Management and Organization
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rch engines. You have been warned.
