Students and job seekers should be willing to learn as much as they can and know that the more they learn, the better their prospects can be.
Tell us a bit about your position and what you do on a day-to-day basis.
I run the operations and compliance for a third-party investment management firm with assets under management of over $1 billion. I manage an operations team of 4 people who provide the back office support for over 50 financial advisors we work with. In addition, I also serve as the in-house HR specialist and IT consultant. Finally, I lead the wealth management team that serves our in-house clients. I provide the client relationship and financial planning for these clients. I am a certified financial planner and hold an insurance license.
What is your background and how did you get into this role?
I am a certified financial planner and originally was interested in this field when I started working with a financial planner in the mid 1990s. It was niche industry back then, but I was intrigued with the work and how it helped people with their financial futures. I worked with financial planners for about 4 years and then started working with my current firm. I have expanded my areas of expertise since then in the areas of operations and compliance.
What do you enjoy the most about your job and what are the biggest challenges?
I primarily enjoy working with my operations team to provide them leadership and support. I also enjoy client relationship duties and planning for our wealth management clients. The biggest challenge is juggling all of these areas I have responsibility and providing the best support for our employees and clients.
What are the top skills you’d look for when hiring a financial analyst for your team?
The primary skill is the ability to communicate effectively. The analyst also has to be interested in learning about everything that goes on in the business.
What advice do you have for students and job seekers who want to work in this field?
Students and job seekers should be willing to learn as much as they can and know that the more they learn, the better their prospects can be. They should also not look at this field as a job. They should look at it as a long-term career. They also must want to be passionate about helping people.