E-Summit: Writing Resumes for Banking, Investment ... · Realm Business Solutions INSIGHT for ARGUS Sage Fixed Asset Solution Sage MAS 200 ERP Sage MAS 90 ERP Sage MIP Fund Accounting

E-Summit: Writing Resumes for Banking, Investment, Insurance &

Financial Services Industries

Brought to You by

The Resume Writing Academy www.resumewritingacademy.com

Wendy Enelow &

Louise Kursmark

October 8, 2008

Part IV: Investment Services Industry

E-Summit: Banking, Finance & Insurance Resumes Part IV: Page 2 www.resumewritingacademy.com ©2008 and 2013, Louise Kursmark & Wendy Enelow All Rights Reserved May Not Be Reproduced Without Written Permission

Keywords & Keyword Phrases for Investment Services

Accounting Practices Accounting Principles Algebra American Tax Association (ATA) Annual Budget Annuity Appraisal Appropriation Arithmetic Asset Allocation Asset Disposition Asset Management Asset Purchase Asset Utilization Asset Valuation Assets Association for Financial Professionals (AFP) Association for Investment Management & Research (AIMR) Bank Banking Bonds Branch Branch Management Brokerage Brokerage Firm Calculus Capital Capital Growth Capital Investment Capital Stock Cash Cash Flow Management Cash Flow Projections Cash Management Certificates of Deposits (CDs) Chartered Financial Analyst Institute (CFAI) Charts Client Management Collections Collections Management Commercial Banking Commercial Credit Commercial Finance Commercial Paper

Commodities Commodities Futures Compliance Corporate Bonds Corporate Development Corporate Securities Credit Analysis Credit Line Credit Management Creditworthiness Data Data Analysis Data Collection Data Integrity Departmental Budgeting Economic Analysis Economic Forecasting Economic Performance Economic Practices Economic Principles Economic Theory Economics Employee Retirement Income Security Act (ERISA) Employee Stock Ownership/Option Plan (ESOP) Enterprise Resource Planning (ERP) Equity Financing Equity Research Equity Research Analysis Expenditure Control Expenditures Expense Budget Expense Control Expenses Feasibility Analysis Federation of Tax Administrators (FTA) Finance Financial Analysis Financial Consulting Financial Counseling Financial Examination Financial Forecasting Financial Instruments Financial Management Financial Markets Financial Models

Financial Planning Financial Planning Association (FPA) Financial Plans Financial Portfolio Financial Recordkeeping Financial Records Financial Regulations Financial Reporting Financial Reserves Financial Resources Financial Sales Financial Services Financial Services Technology Consortium (FSTC) Financial Solvency Financial Statements Financial Strategies Financial Transactions Fixed Income Management Forecasting Funds Accounting Funds Management Futures Government Bonds Graphs Income Income Statement Income-Earning Investment Industry Forecasting Information Systems Information Technology Insurance Insurance Administration Insurance Policy Insurance Rate Setting Insurance Rating Insurance Underwriting Interest-Bearing Instruments Internal Revenue Service (IRS) International Monetary Fund (IMF) Inventory Financing Investment Investment Analysis Investment Banking Investment Consulting Investment Counseling Investment Management


Investment Planning Investment Price

Keywords & Keyword Phrases for Investment Services Page 2 of 2

Investment Risk Investment Services Investment Stability Investment Yield Investments Investor Accounting Investor Relations Legal Legal Affairs Legal Compliance Legal Review Managed Futures Association (MFA) Market Price Market Risk Market Stability Mathematics Mathematics Reasoning Money Markets Municipal Bonds Mutual Funds NASDAQ National Association of Securities Dealers (NASD) National Association of Securities Dealers Automated Quotation (NASDAQ) National Investor Relations Institute (NIRI) National Tax Association (NTA) Net Worth New York Stock Exchange (NYSE) Numerical Data Operating Budget Operating Costs Operational Risk Analysis Operations Research Options Overhead Expenses Over-the-Counter (OTC) Pension Benefits Pension Funds Pension Plan Pension Plan Administration Pension Plan Management Policies & Procedures Portfolio Portfolio Administration

Portfolio Analysis Portfolio Development Portfolio Management Price Private Equity Private Equity Financing Product Pricing Product Pricing Analysis Profit & Loss (P&L) Profit & Loss (P&L) Management Profit & Loss (P&L) Reporting Profit & Loss (P&L) Statement Profit Gains Profitability Analysis Puts Ratings Analysis Regulations Regulatory Affairs Regulatory Compliance Regulatory Reporting Regulatory Standards Relationship Management Research Research Analysis Reserves Return on Assets (ROA) Return on Equity (ROE) Return on Investment (ROI) Revenue Revenue Gain Risk Risk Analysis Risk Assessment Risk Control Risk Department Risk Management Risk Spread Sale Financing Securities Securities Securities & Exchange Commission (SEC) Securities & Exchange Commission (SEC) Affairs Securities & Exchange Commission (SEC) Compliance

Securities & Exchange Commission (SEC) Reporting Securities Analysis Securities Industry Association (SIA) Securities Management Securities Sales Securities Sales Management Sound Financial Policies Spreadsheets Stability Standards Statistical Analysis Statistical Procedures Statistical Reporting Statistics Stock Market Stocks Strategic Planning Tax Tax Analysis Tax Implications Tax Laws Tax Liability Tax Management Tax Planning Tax Regulations Tax Returns Tax Services Tax Shelters Tax Strategies Team Building Team Leadership The American College Trading Trading Desk Trading Practices Training & Development Underwriting Uniform Securities Agent Law Examination (USALE) World Bank Yield Yield Improvement Yield Management

Representative Job Titles for Investment Services Account Executive Accredited Tax Advisor (ATA) Agent Analyst Asset Manager Branch Manager Broker Certified Financial Planner (CFP) Certified in Financial Management (CFM) Chartered Financial Analyst (CFA) Chartered Financial Consultant (ChFC) Client Manager Collections Manager Commodities Broker Commodities Sales Agent Compliance Analyst Compliance Director Compliance Manager Compliance Officer Compliance Specialist Compliance Vice President Economist Equity Research Analyst Financial Advisor Financial Analyst Financial Consultant Financial Counselor Financial Manager Financial Planner Financial Representative

Financial Sales Agent Financial Sales Representative Financial Services Representative Financial Services Sales Associate Financial Services Sales Representative Financial Specialist Fixed Income Manager Floor Broker Funds Manager General Securities Registered Representative (NASD Series 7) Investment Advisor Investment Analyst Investment Consultant Investment Counselor Investment Executive Investment Manager Investment Officer Investment Specialist NASD Series 24 Registered Representative NASD Series 26 Registered Representative NASD Series 6 Registered Representative NASD Series 63 Registered Representative NASD Series 65 Registered Representative NASD Series 66 Registered Representative NASD Series 7 Registered Representative

Over-the-Counter (OTC) Trader Pension Plan Administrator Personal Financial Advisor Personal Financial Specialist Portfolio Administrator Portfolio Manager Ratings Analyst Registered Representative Relationship Manager Research Analyst Risk Analyst Risk Manager Sales Agent Sales Representative Securities Analyst Securities Broker Securities Manager Securities Sales Agent Staff Analyst Stock Broker Tax Analyst Tax Manager Trader Underwriter Vice President of Investment Finance Vice President of Investments Vice President of Securities Vice President of Trading


Software, Systems & Technology for Investment Services

4n6xprt Systems StiffCalcs AcornSystems Corporate Performance Management ACT! ADP/Vantra VOLTS Allied Financial Software Act4Advisors Anodas Software Limited Phoenix AppleWorks ARSoftware WinSMAC atGlobal Allegro Axonwave Fraud & Abuse Management System BCCORP Burkitt W5 BCCORP W5 Bloomberg Professional BusinessObjects Desktop Intelligence CCC EzNet CCH ProSystem CGI-AMS BureauLink Enterprise CGI-AMS CACS Enterprise Cognos 8 Business Intelligence Corel QuattroPro Corporate Responsibility System Technologies Limited (CRSTL) Compliance Posting System CSI Complex Systems ClientTrade Cygnus Software IncomeMax dailyVest Investment Personalization Platform Deltek Costpoint Derivicom FinOptions XL Enterprise Resource Planning (ERP) Software Equifax Application Engine Experian Credinomics Experian Strategy Management Experian Transact SM Fair Isaac Claims Advisor FileMaker Pro Financeware Finance File Manager FundCount Web General Examination System (GENESYS) Hyperion Business Performance Management Suite Hyperion Enterprise Hyperion Pillar IBM Lotus 1-2-3 IBM Lotus Notes Imagine Trading System Intuit QuickBooks Ivorix Neurostrategy Finance

Leading Market Technologies EXPO LexisNexis Banko LexisNexis RiskWise Magnify Predictive Targeting System Matheny Pattern Forecaster Plus Mathworks MATLAB Microsoft Access Microsoft Excel Microsoft Great Plains Microsoft Outlook Microsoft PowerPoint Microsoft Project Microsoft Visual FoxPro Microsoft Word MoneyTree Silver Financial Planner Moody’s KMV FAMAS Moody’s KMV Risk Advisor Moody’s KMV Risk Analyst Neural Network Modeling NeuroSolutions NeuroSolutions for MATLAB Novell GroupWise OmniRIM Online Analytical Processing (OLAP) Oracle Corporate Performance Management (CPM) Oracle Financials Oversight Systems PriceWaterhouseCoopers TeamMate ProxyEdge Quantrax Intelec Realm Business Solutions INSIGHT for ARGUS Sage Fixed Asset Solution Sage MAS 200 ERP Sage MAS 90 ERP Sage MIP Fund Accounting SAP Business One Solomon SPSS Star Software Materiality Calculator Structured Query Language (SQL) SunGard LockBox SunGard MicroHedge Sync Essentials Trade Accountant System for Electronic Rate & Form Filing (SERFF) System Innovators Software


Software, Systems & Technology for Investment Services

Page 2 of 2

TCI XML Credit Interface The Agency Advantage Thomson GoSystem Tax TradeTools Financial Market Database TradeTools Monthly U.S. Economic Database Trading Blox TrendTracker Compliance Solution Universal Tax Systems TaxWise Valen Technologies Risk Manager Valiant Vantage Visual FoxPro Visual Statement Investigator Suite

Vulcan Solutions Ward Systems Group GeneHunter Ward Systems Group NeuralShell Predictor Ward Systems Group NeuroShell Trader WealthTec Foundations WeathTec WealthMaster Web Information Solutions Pocket Informant Westlaw Wolfram Research Mathematica Wolfram Research Mathematica Financial Essentials Wolfram Research Mathematica Pricing Engine


Common Professional Designations for Investment Industry Professionals

Accredited Asset Management Specialist (AAMS): This designation is awarded by the College for Financial Planning and persons obtaining this title must complete a self study course and pass an examination on asset management topics. Certified Financial Planner (CFP): The CFP designation is not easy to obtain. Professionals with a CFP designation willl have broad knowledge of all aspects of financial planning. The CFP must undergo years of testing and continuing education. Certified Fund Specialist (CFS): This designation is offered by the Institute of Business and Finance (IBF) to financial services professionals who successfully complete its course and pass the comprehensive exam. This designation focuses on mutual funds. Certified Investment Management Analyst (CIMA): This certification requires coursework and a final exam and is administered by the Investment Management Consultants Association plus 3 years experience in the investment consulting field. Certified Investment Specialist (CIS): CIMAs that go one step further obtain the CIS designation. It requires advanced concepts and strategies in asset analysis, tax planning and legal issues pertaining to investment consultants. Certified Public Accountant (CPA): Becoming a CPA is no easy task. Besides obtaining an accounting degree, CPAs must meet a 150 semester hour credit requirement, pass a four part exam, and complete at least one year of relevant experience (requirements vary by state) CPAs can offer financial services, but their specialty is tax issues. Personal Financial Specialist (PFS): CPAs that want to focus more on financial planning obtain a PFS designation. They must have at least 250 hours of yearly experience in financial planning and have passed an additional exam. Chartered Financial Analyst (CFA): This designation is one of the toughest to obtain. The CFA has passed three examinations and accumulated three years of professional work experience. This is a common designation for mutual fund managers, money managers and stock analysts. Chartered Investment Counselor (CIC): Professionals with a CIC designation must obtain a CFA designation first, be employed by a member of the ICAA (Investment Counsel Association of America), and must have 5 cumulative years of related work experience. Chartered Financial Consultant (ChFC): Similar to CFPs, the Chartered Financial Consultant must complete multiple years worth of examinations and has knowledge in all areas including tax, estate, insurance, financial planning and portfolio management. ChFCs tend to come from the insurance industry. Chartered Life Underwriter (CLU): Professionals with a CLU designation have completed a ten course curriculum covering life insurance products. Chartered Mutual Fund Counselor (CMFC): To obtain this designation you must complete a self-study program and final examination on different mutual fund topics. Professionals with this designation provide mutual fund advice to clients. Chartered Retirement Planning Counselor (CRPC): This designation is usually obtained by financial advisors that want to increase their knowledge of pre and post retirement financial planning. Chartered Retirement Plans Specialist (CRPS): This designation is usually obtained by financial advisors that want to increase their technical skills in administering retirement plans for business clients. Registered Investment Advisor (RIA): These professionals generally charge a flat fee and/or an ongoing asset-based fee for their investment management services and are registered with the SEC (unless they have less than $25 million under management, then they register with their state). The SEC does not formally recognize “RIA” as an official title because they don’t want to imply that advisors faced a certification process. Registered Representative: This is, perhaps, the most typical professional designation in the investment industry and is provided by the National Association of Securities Dealers. The most-common NASD Registered Rep credentials are Series 6, 7, 26, 63, 65 and 66, each allowing an individual to sell different types of investment products.


SARAH McDONNELL [email protected]

75 Bury Street, Flat 4 Home: 0207-618-1110 London NW8 7QA, UK Mobile: 07791-267-3418

SENIOR EXECUTIVE PROFILE

Senior Vice President / Managing Director

Built & Led Profitable, High-Performance Global Business Organizations & New Ventures Delivering Advanced Information Product & Trading Technology Solutions to the Financial Services & New Media

Industries throughout the US, Europe & Asia

• Cross-Functional Leadership Expertise in Strategic Planning & Execution, Client Relationship Management, Sales & Marketing, Technology Solutions, New Product Development, Operating Management, Finance, Organizational Design, Strategic Partnerships, Business Turnaround, and Team Building/Leadership.

• Extensive Network of Executive-Level Contacts with CEOs, COOs, EVPs, and Top Executives Worldwide.

• Record of Double-Digit Revenue & Profit Growth in Challenging & Competitive Global Markets.

Member: National Association of Finance Executives, 100 Women in Hedge Funds, Junior League

PROFESSIONAL EXPERIENCE

GLOBAL DERIVATIVES, LTD. – Headquarters – UK 2010 to Present

$30 million, early-stage, Israeli company providing technology-based solutions of exotics option pricing, trading & risk management systems for the financial services industry. Vice President – EMEA Division / Managing Director – HQ Operations Recruited by CEO to position the firm for IPO by accelerating revenue growth and profitability in the strategically critical EMEA region. Dual executive leadership responsibility as both Vice President and Managing Director responsible for all HQ and EMEA business operations. Direct a team of 50 sales professionals, technical and financial personnel, and support staff. • Conceived, obtained stakeholder approval, and created business development and regional sales and

marketing strategies targeting $50 million in incremental revenue over three years. Currently on target to achieve/surpass revenue and profit objectives through new product/solutions and regional expansion.

• Restored customer confidence and technological competencies and personally closed major transactions with ING, Commerzbank, and Bank of Austria. Led teams that closed major deals with JPMorganChase.

• Grew first-year revenue by $8 million (180% of target) to deliver 65% of total global sales. Currently on target to achieve $15 million in revenue in second year with margin improvement from 6% to 33%.

• Led development and delivery of new, client-facing, technology risk management solution that generated $10 million in contracted revenue within 15 months.

• Restructured EMEA organization, improved operational efficiencies, cultivated a high-performance culture, and implemented a sophisticated, consultative sales process/model. Instantly transformed sales into a more strategic and more customer-centric organization.

• Created and implemented a unique portfolio of marketing initiatives and strategic partnerships throughout the European continent, including a series of educational seminars at prominent universities, regional JV seminars, and first-of-a-kind, industry-wide marketing events.


SARAH McDONNELL [email protected] Page 2

DUN & BRADSTREET – London, New York & San Francisco 1996 to 2010

Fourteen-year management career with $5 billion global information & technology provider to financial services, media, and corporate clients. Delivered transaction, information & technology solutions for clients investing in the equities, fixed income, forex, money, commodities & energy markets. Promoted through a series of increasingly responsible, increasingly high-profile assignments. Senior Vice President – Major Client Division – New York (2007 to 2010) One of five senior executives leading the turnaround and sustained revenue growth of this $1 billion business unit. Personally responsible for the development and delivery of profitable information and software solutions for key strategic customers through the US and Asia. Led a professional, technical, and financial staff of 35 in Tokyo, Singapore, Hong Kong, and New York. Managed $125 million annual budget. • Created a fully integrated global business infrastructure where none had previously existed, reorganized

sales and support teams, refined roles and account responsibilities, restructured compensation and performance objectives, and created a customer-driven business team. Resulted in a 10% gain over revenue objectives within a challenging, competitive, and unstable commercial market.

• Personally led board-level relationships and negotiations with key accounts. Concluded unique multimillion-dollar, long-term global contract with Goldman Sachs, positioning Reuters as their primary partner for financial information services (headlined in Financial Times). Closed a multimillion-dollar trading-room system technology deal with JPMorganChase, one of the largest in D&B history.

• Led acquisition due diligence effort to grow US private-wealth management business, including evaluation of potential technology partner and new venture (proposed value of $25 million).

• Organized and managed the inaugural Woman’s Hedge Fund Conference in NYC. Senior Vice President – New Media Division – New York (2004 to 2006) Promote to lead the start-up of a new global online news and data business unit, marketing financial information and technology products to web portals and cell phone providers worldwide. Focused efforts on strategic planning, conceptualization, development, and market launch of new products and line extensions to accelerate global market capture. Led a professional staff of 15 and managed annual operating budget. • Personally negotiated and closed strategic partnerships with major technology and communications

clients including Google and Sprint. Total revenue capture forecasted at $500+ million over five years.

• Delivered $27 million in new revenue and $28 million in incremental revenue.

• Led complex due diligence and contract negotiations with ASP (technology solutions provider). Vice President – International Product Management – London (2003 to 2004) Promoted to orchestrate the development of a comprehensive worldwide product marketing plan and create a more customer-focused marketing and product management team for this $1 billion global equity business. One of 12 executives credited with the successful turnaround and return to profitability of the division. • Co-led development of a new product marketing plan that identified (and subsequently captured)

$75 million in added value through a strategic product rationalization and enhancement effort.

• Designed and led development and market launch of a new equity analytics application for European and Asian markets. Increased sales 35% to springboard the company’s revitalization.

• Executed a comprehensive global product launch for D&B’s premier product (DBData), closing 90,000 installations worldwide. Exceeded sales targets through innovative strategic initiatives, marketing communications, and field sales training/support programs.


SARAH McDONNELL [email protected] Page 3

Director – Major Accounts Group – London (2001 to 2003) Promoted, transferred to London, and given full responsibility for planning and managing the sale of software technology and information products to key financial firms (e.g., Chase, Lehman Brothers, Merrill Lynch). Concurrently, oversaw project implementations and ongoing client business/technology support. Trained and led a staff of 11. Outperformed growth objectives and delivered a 10% increase in revenues within an intensely competitive market. Team Leader – Banking & Buyside Sales – San Francisco (1996 to 2000) Led sales and account-management teams for a key client portfolio (Microsoft, Nike, Bank of America, Franklin/Templeton). Surpassed annual sales goals for three consecutive years with 25% business growth. U.S. BANK – San Francisco 1989 to 1996

Fast-track promotion through several management positions in commercial real estate and private banking to final promotion as Assistant Vice President-Foreign Exchange. Marketed FX contracts to CFOs and Treasurers throughout Silicon Valley. Consistently ranked as one of the top five producers in the business.

EDUCATION & CREDENTIALS:

Executive Leadership Program, Wharton Business School, University of Pennsylvania, 2009 Executive Management Program, University of Michigan, 2007 BSc, Finance & Insurance, University of South Carolina, 1988 Financial Services Accreditation (UK equivalent to NASD Series 6), 2001


JAMES K. MORRIS Building Global Investment Portfolios

94 West 94th Street • New York, NY 10024 [email protected]

212.779.8825

GLOBAL INVESTMENT INDUSTRY EXECUTIVE

Creating, Marketing, and Managing Financial Instruments that Consistently Outperform the Market, Delivering Double-Digit Growth in Sales, Profits, and ROI

More than 20 years’ experience building and leading high-profile Investment and Financial Services organizations for Merrill Lynch and Salomon Smith Barney. Combine expert technical, analytical, and investment management qualifications with outstanding performance in senior-level general management and organizational leadership roles. Excel in professional staff training, development, mentoring, and leadership. Experienced across a broad range of investment products, strategies, and markets. Top-flight qualifications include: Strategic Investment Planning Risk Management Financial Planning & Analysis New Product Development Sales & Marketing Regulatory & Audit Affairs Trading & Syndication Underwriting SEC Registration & Compliance

10-Year Member, Unit Investment Trust Committee, Investment Company Institute, Washington, DC PROFESSIONAL EXPERIENCE:

MERRILL LYNCH, New York, NY 2003 to 2013

Managing Director – Merrill Lynch Global Wealth Management Managing Director with full strategic planning, operating, sales, marketing, investment management, risk management, budgeting, staffing, and financial management responsibility for the organization’s Unit Investment Trust (UIT) Department (equity and fixed income products). Challenged to lead the Department through a period of accelerated growth and expansion worldwide. Led a staff of up to 52 through 7 direct management reports. Orchestrated the development of a series of new revenue-generating products (syndication, issuance, trading, legal, regulatory) for distribution through the Merrill Lynch sales force, other Merrill Lynch distribution outlets, and a global broker/dealer network. Directed complex investment, financial, and organizational risk management, including investment research, hedging, and regulatory reporting. Oversaw all SEC registration and underwriting filings in compliance with the Investment Company Act of 1940. • Surpassed all growth objectives and built volume to $236 million in gross revenue on annual sales of $10 billion. • Revitalized the sale of tax-free trusts, increased issuance from $85 million to $607 million over 4 years (63%

annualized increase), and grew revenues from less than $1 million to $8.1 million (annualized increase of 70%+). • Focused the organization on external underwriting of tax-free trust investments and increased from 20% to 53%

over same 4-year period. Grew takedowns from $17 million to $320 million (annualized increase of 108%). • Developed ML Investment Company and registration in Ireland, and offered funds in Japan, Hong Kong, Taiwan,

and Singapore, each requiring local registration. Led market introduction and raised $200+ million in assets. • Spearheaded the development and global market launch of more than 15 new products invested in the energy,

technology, health care, and financial market sectors to expand investor reach. • Restructured and rebranded Defined Asset Funds portfolio, including SEC registration, prospectus development,

partner relations, sales, marketing, and investor communications. Tripled the size of the proprietary portfolio.


JAMES K. MORRIS Building Global Investment Portfolios [email protected] … Page 2

Managing Director – Merrill Lynch Global Wealth Management (Continued)

• Represented Merrill Lynch in the Investment Company Institute’s successful negotiations with the IRS to amend

new tax legislation impacting Widely Held Fixed Investment Trusts. • Led the organization through a series of complex mergers and reorganizations. Introduced operational risk controls,

created fiduciary policy manual, and designed quarterly operational risk self-testing and reporting procedures. • Demonstrated outstanding leadership following 9/11 destruction. Implemented immediate recovery strategy to unite

core group of people to restore investor and partner confidence, while continuing to meet all legal requirements and control market exposure. Opened new offices within 2 weeks and brought 100% of staff back to work.

• Appointed Interim Head of Merrill Lynch Mutual Funds Distribution for a 3-month period. Managed the organization without disruption during recruitment, training, and hiring of permanent leadership.

SALOMON SMITH BARNEY, New York, NY 1984 to 2003

Director & Head of Sales and Secondary Market (2001 to 2003) Vice President & Head of Sales and Secondary Market (1998 to 2001) Vice President & Sales Manager (1995 to 1998) Senior Business Executive leading the strategic planning, development, marketing, and sale of unit investment trusts throughout the global Salomon Smith Barney sales organization. Promoted through several increasingly responsible management positions to final promotion as the #2 executive of the 30-person sales and marketing group. Capitalized on new investment strategies and products to capture emerging market opportunities and drive long-term revenue growth. Personally managed high-profile relationships worldwide. • Increased sales from $5 billion to $12 billion over 8 years (annualized growth of 13%). • Created a series of new product concepts and structures, including a new equity unit investment trust with 1-year

structure and deferred sales charge. Launched new product and built to $11 billion of total sales. • Facilitated seamless integration and consolidation of several departments into one organization. Merged products,

staff, systems, and business processes to streamline operations and improve risk management. Assistant Vice President & Marketing Specialist (1984 to 1995) Marketed/sold equity, fixed income, and international unit investment trusts throughout several top-producing regions in the U.S. Product portfolio included domestic and international equities, municipal bonds, government and agency bonds, and preferred stock.

EDUCATION & PROFESSIONAL CERTIFICATIONS

B.S., Organizational Leadership, University of Maryland (2009) (Completed 3 years of coursework for B.S., Economics, State University of New York) Series 24 General Securities Principal (2002) Series 7 General Securities Representative (1984) Continuing Professional Education:

• Diversity Training & Management/Leadership Development – Wharton School of Business • Fabozzi Fixed Income Program – Frank Fabozzi • Executive Leadership Program – Merrill Lynch • Fixed Income Training Program (6 months) – Salomon Smith Barney


A D A M E K B E R G 419 First Avenue, Apt. 9Q • New York, NY 10016

212-555-9101 • [email protected]

I N S T I T U T I O N A L I N V E S T M E N T E X E C U T I V E

Relationship Manager • Hedge & Investment Fund Liaison • Financial/Fund Advisor

Highly accomplished industry professional with deep expertise in financial markets—background in Hedge, High Yield, Distressed, and Fixed Income investments and an extensive network of industry contacts at the highest executive levels.

Consistent top revenue producer with exceptional sales and relationship skills and proven ability to learn new products and stay abreast of rapid changes in technology, markets, and industry trends.

Professional Experience

COMMERCE CAPITAL MARKETS, New York, NY 2010–present

Director, Dedicated High Yield and Distressed Team: Hired as part of new dedicated team to drive profitable growth in emerging market segments for organization with $90B in assets. Perform full scope of account management, buying and selling high yield and distressed debt to service existing accounts while developing new business.

• With 4 team members, generated 80% of group profitability through aggressive growth in the high yield arena. • Leveraged existing account base to generate new activity—buying and selling bank loans, performing credit default

swaps, and selling Commerce primary high yield and investment grade bonds and notes. • Developed strong relationships within the hedge funds arena.

BANNERMAN PARTNERS, L.P, New York, NY 2008–2010

Managing Director, Dedicated High Yield and Distressed Team: Rehired by President and CEO as part of new High Yield and Distressed sales and trading team.

• Personally grossed $1M+ after first year of business, buying and selling secondary high yield and distressed debt from established account base—primarily middle-market hedge funds and insurance companies.

• Identified and developed relationships with Hedge Funds, Money Managers, Insurance Companies, and various middle-market accounts who buy and sell high yield and distressed debt.

• Developed strong client base in ETC and EETC airline space.

MERRILL LYNCH, New York, NY 2005–2008

Fixed Income Specialist, Wealth Management Division: Joined wealth management team with $1.5B in assets under management. Developed and pitched fixed income investment strategies to clients and prospects.

• Personally captured $90M+ in tradable and fee-based assets for wealth management team. • Prepared and executed hedging strategies for clients who held restricted stock after merger or buyout.

BANNERMAN PARTNERS, L.P, New York, NY 2002–2005

Partner, Managing Director: Fixed Income Sales: Recruited to 50-employee securities firm to provide sales leadership both by example and through guidance of junior sales professionals. Additionally, as partner, participated in strategic planning and operating decisions for the firm.

• Within 1 year, rose to #2 among 12 peers; 1 of 3 consistent million-dollar-plus producers in the firm. • Increased personal sales production 15% annually.


A D A M E K B E R G 212-555-9101 • [email protected]

BANNERMAN PARTNERS, L.P, continued

• Spearheaded the establishment of an international distribution base—a new sales channel for the firm. • Responded rapidly to changing market conditions, technology advancements, and business trends to stay in tune with

customer needs. • A key decision-maker in development of corporate web site, working with team and outside consultant to establish

business purpose, content, structure, and style.

CANTOR FITZGERALD SECURITIES, INVESTMENT STRATEGIES GROUP, New York, NY 1996–2002

Partner, 1998-2002 • First Vice President, 1996-1998: Sold a wide range of financial products—Treasury bonds, futures, corporate bonds, derivatives, and other complex products—as secondary transactions to institutional investors.

• In 2 years, doubled personal sales volume to $1M and maintained million-plus level every year thereafter. • Contributed to tripling in size of the Investment Strategies Group in 5 years. • Implemented and led a highly successful employment diversity program within the firm. Components of the program

included recruiting at minority colleges, financial markets education programs, and new employee mentoring. Personally mentored several of the new hires.

• Selected as an instructor for firm-wide training program for the annual recruiting class. • Represented firm as a corporate spokesperson in interviews by print and broadcast media.

U.S. BANCORP, New York, NY 1992–1996

Manager, Corporate Sales Group: Capital Markets Desk: Generated funding for the bank through sales of commercial paper, CDs, BAs, and various money market products; sold loan participations. Managed the sales team and served as key spokesperson for the Capital Markets Desk.

• Top performer among 5-member Capital Markets sales team. • Instrumental in launch of the firm’s loan participation desk.

CHASE MANHATTAN BANK, New York, NY 1990–1992

Fixed-Income Sales Representative: One of only 2 non-MBAs selected to elite 25-member training group and first trainee placed following program completion; accepted position selling government treasuries, agencies, and commercial paper to institutional investors.

Education and Licensure

Bachelor of Arts, cum laude, in Marketing and Finance Cornell University, Ithaca, NY, 1990

Series 3, 7 63, and 65 licenses

Board and Community Leadership

SPCA, Manhattan Branch • Board Member, 2011–Present: Provide strategic and tactical guidance to executive team. Spearheaded major

fundraising drive that netted $700K (2x prior record).

Junior Achievement • Mentor, 2009–Present: Introduce young entrepreneurs to Wall Street and advise their budding business ventures.


KATHRYN WESTOVER 99 Hopkins Street, Reading, MA 01867

Home 781-944-1811 • Cell 781-240-9687 • [email protected]

SALES AND MANAGEMENT PROFESSIONAL Business Services • Consumer Services • Retail

Expert at driving profitable growth through customer-focused solution sales. Versatile performer able to manage multiple functions and business operations while consistently generating sales revenue. Quick study, rapidly successful in diverse industries.

• Built a profitable, high-growth mortgage company from the ground up. • Launched one of the most successful instant tax services in the Boston area. • Developed strong, sustainable relationships with customers and more than 50 financial institutions. • Excelled in fast-paced environments where excellent customer service was key to growth and success.

EXPERIENCE AND ACHIEVEMENTS Marketing, Sales & Operations Manager (Co-Owner): Commonwealth Financial, 2008–Present Woburn, MA

Led firm from start-up to nearly $1M annual revenue. Personally generated more than $200K annual sales at peak while simultaneously serving as Operations Manager with full accountability for sales and marketing, finance, payroll, staff hiring/training, and Commonwealth of Massachusetts compliance.

• Drove dynamic revenue growth and increased profitability every year by creating a lean organization with efficient processes and carefully controlled costs.

• Directed marketing and sales efforts to capture two distinctly different client groups: individual homeowners and financial institutions. – Planned/executed direct-mail campaigns to attract target audience of refinancing homeowners. – Delivered sales presentations with appropriate closing message and follow-up. – Personally established relationships with 50+ lending institutions and leading mortgage brokers.

• Identified opportunity and purchased tax franchise as a complementary business to drive customers to the mortgage business while creating beneficial revenue spike. Efficiently managed two businesses simultaneously and captured more than $15K annual savings in reduced overhead. – Moved aggressively to launch tax service in two months. Secured IRS licensing, learned tax

software, hired and trained employees, and forged banking relationship. – Grew sales each year, rising to “top 5” among all instant tax service stores in Boston market.

Loan Officer: Residential Acceptance Corp., 2005–2007 • Northeast Financial Group, 2001–2005 Boston, MA

Quickly learned mortgage lending business and assumed significant responsibility for generating loans, grading credit, and training new employees. Consistently exceeded sales goals and maintained excellent relationships with lending institutions. Selected to help launch new branch office in Worcester.

Manager: Wharfside Restaurant, 1998–2001 Newport, RI

Advanced rapidly to managerial role, overseeing staffing, ordering of supplies, and guest services to ensure smooth running of waterfront restaurant. Excelled in customer service.

EDUCATION University of Massachusetts, 1993–1997 Boston, MA

• Completed 85% of requirements for Bachelor of Arts in Psychology.


ROBERT KOWALSKI 9910 Iona Place 614-788-1672 Columbus, OH 43230 [email protected]

GENERAL MANAGEMENT / SALES MANAGEMENT

Executive experienced in P&L, general and operations management, marketing, and recruitment who propelled revenue growth of $1.25M and increased direct operating income 520% in only 11 months.

! Increased revenue by 253%, gross profit by $425K.

! Maintained among the highest profit margins in the company’s history: 26% in a down market.

! Led sales center to national ranking of 11 out of 380+, despite inheriting a $84K loss to start the fiscal year.

Natural leader with expert ability to develop high-quality management and sales teams, communicate business goals, and motivate staff to exemplary performance.

! Improved sales profits 9-fold with limited resources.

! Promoted multiple salespeople to general management positions.

Innovative problem-solver and effective communicator adept in delivering superior customer service and developing new business.

! Increased customer satisfaction by 25%.

! Spearheaded effort to reduce existing legal cases; 5 reduced to 0.

! Significantly increased customer traffic through strategic marketing campaigns.


STARBRITE HOMES CORPORATION, Atlanta, GA 2009–2013 $1 billion corporation, the largest retailer of manufactured homes in America

General Manager, Columbus, OH, 2011–2013

Rapidly turned around an unprofitable multimillion-dollar manufactured housing dealership, creating and executing the operations, staffing, and sales strategies to transform business from a below-average performer to #11 among nearly 400 dealerships nationwide.

Managed P&L, operations, sales, and growth strategy for the business. Directed up to 80 sales, administrative, and installation staff.

! Restored profitability within months; in less than one year, led the business to a top national ranking.

! Introduced innovative selling techniques and retrained entire sales staff. Rapid results from new methods galvanized sales team and led to consistent growth in both revenue and profits.

! Moved quickly to address myriad operational issues that hindered growth.

! Received national award for outstanding management and sales achievement. Set district records for highest direct operating income. Honored as the GM with the most personal sales. Earned President’s Circle status every year.


Robert Kowalski 614-788-1672 [email protected]

STARBRITE HOMES CORPORATION, continued

Sales Representative (Housing Consultant), Toledo, OH, 2009–2011 Successfully marketed land and home packages in the manufactured housing industry. Managed sales process from prospecting to closing, then scheduled the construction of homes, hired and coordinated contractors, scheduled service, and ensured customer satisfaction. Gained extensive experience in finance, insurance, prospecting, cold-calling, and all aspects of marketing.

! Contributed significantly to sales center’s national ranking and leap from 29th place to 4th out of 400.

! #1 in branch sales of insurance including physical damage, extended warranty, and credit life.

! Conceived a creative marketing strategy targeting an easily converted niche prospect group; built this business to 25% of sales.

EXCEL COMMUNICATIONS, Cleveland, OH 2006–2009

Area Coordinator / Senior Managing Representative Profitably marketed a unique business opportunity in the telecommunications business.

! Recruited a network of 200+ representatives.

! Developed and delivered effective training programs; created call scripts; coached inexperienced representatives to become successful producers.

! Honed public speaking skills through regular “opportunity meetings” held to recruit new reps. HIGHLIGHTS OF ADDITIONAL EXPERIENCE

! Consultant to start-up network marketing company. Designed, tested, and launched a highly successful cold-market recruiting system.

! #1 Sales Representative, Midwest Region, in direct sales for Vector Marketing Corporation.

EDUCATION

BACHELOR OF SCIENCE IN MANAGEMENT The Oho State University, Columbus, OH


SAM TURNER, JR. [email protected]

11001 Smithview Drive Home: 333.555.5555 Montgomery, AL 33087 Cell: 903.555.5555

MARKETING / BUSINESS DEVELOPMENT / RELATIONSHIP MANAGEMENT STRATEGIST / LEADER / MANAGER / INNOVATOR

Built top-performing marketing organizations that consistently delivered double-digit revenue and profit growth through success in: Marketing Strategy & Positioning Brand Development Key Political & Community Partnerships Channel Development & Management Product & Service Development Customer Relationship Management Marketing Communications Multicultural Marketing Development Media & Public Relations Corporate Diversity Development Special Events Management Budgeting & Profit Growth

Expert team building, team leadership and consensus building skills. Dynamic presentation and negotiation style. =PROFESSIONAL EXPERIENCE:

Marketing & New Business Development • Marketing Manager of Regional Management Team, credited with developing and executing marketing strategies and

campaigns that built overall brand awareness 23% and multicultural awareness 19% within a highly competitive 3-state region. • Through strategic marketing focus, high-profile market image, and effective PR and press campaigns, captured more business

in 10 years than company had generated in its entire 55-year history. • Created, designed and executed portfolios of marketing communications including print advertisements, promotions, brochures,

customer marketing materials, product marketing materials, press releases and other marcomm documents. • Planned, coordinated logistics, captured sponsors and directed a series of special event campaigns and programs. Relationship Development & Management • Demonstrated outstanding success in relationship development and account/partner management. Led negotiations, structured

transactions and closed more than $20+ million in sales to corporate partners, hotels, business owners, individuals and others. • Developed strong and sustainable relationships with community partners, organizations and leaders to position company as a

strong corporate citizen, enhance market awareness and drive long-term business development efforts. • Increased revenues 200% while directing sales, marketing and customer relations for a transportation services company. Strategic Marketing & Business Leadership • Introduced data analysis and reporting models to accurately represent marketing performance and provide executive team with

critical information for market planning and long-term business development. • Developed and managed large-dollar marketing and advertising budgets, resources and campaigns. • Authored, designed and produced product reference materials to enhance capabilities of field sales organization. • Personally managed sensitive communications with the media and all issues involving industry regulations and compliance. Sales & Marketing Team Recruitment, Training & Leadership • Pioneered innovative recruitment campaigns to increase staff representation across all core multicultural groups. Followed

through with the design and delivery of culturally and ethnically specific marketing campaigns to drive penetration throughout targeted demographic segmentations.

• Rationalized field sales and marketing teams and mix, redefined staffing requirements to meet changing market demands, and built sales teams that consistently ranked #1 in company sales and profitability. Trained more than 300 personnel.

• Designed and led numerous product and service training programs for employees, agents and independent contractors.


SAM TURNER, JR. [email protected] … Home: 333.555.5555 … Cell: 903.555.5555 Page 2

PROFESSIONAL HONORS & AWARDS:

Recognized for ongoing service and commitment to local non-profit and charitable organizations throughout career:

• Humanitarian Award, Inner City Youth Development, Inc. (Chicago – 2011) • Drum Major Award, Milwaukee NAACP (Milwaukee – 2011) • Spirit of Excellence Award, PLCCA Inc. (Maywood, IL – 2010) • Dr. Martin Luther King, Jr. Legacy Award, King Boys & Girls Clubs of Chicago (Chicago – 2009) • Excellence in Diversity, “Focus on Diversity” television show (Milwaukee – 2008) • Freeing the Human Spirit Award, Habilitative Systems, Inc. (Chicago – 2008)

PROFESSIONAL AFFILIATIONS:

Maintain a high profile within local business, non-profit and charitable organizations: • Board of Directors, Athletes Against Drugs (Chicago) • Board of Directors, Gray’s Child Development Center (Milwaukee) • Board of Directors, Community Insurance Information Center (Milwaukee) • Board of Directors, Dr. Martin Luther King, Jr. Boys and Girls Clubs (Chicago) • Member, National African-American Insurance Association

EMPLOYMENT HISTORY:

Family Southern Mutual Insurance Company, Montgomery, AL 1998 to 2012 Promoted through a series of increasingly responsible management positions to final promotion directing all multicultural marketing, branding, marketing communications, public relations, community relations, media and business development programs throughout Illinois, Wisconsin and Iowa. Increased brand awareness 19% in multicultural markets and 23% in markets overall in an intensely competitive region. Excelled in new business development, multicultural staffing, staff training/ leadership and revenue/profit growth. Manager – Regional Emerging Market Development (2006 to 2012) Corporate Underwriting Analyst (2005 to 2006) Senior Urban Marketing Specialist (2004 to 2005) Commercial Lines Analyst (2002 to 2004) Urban Marketing Specialist (1998 to 2002) Louis Anderson and Associates, Inc., Montgomery, AL 1986 to 1998

Joined this diversified retail and service holding company as a Limo Driver. Promoted to Sales & Business Manager for the entire limo company within first 10 months and delivered a 200% increase in sales in first year. Promoted 18 months later to General Sales Manager with full sales, marketing, business development and customer relationship management responsibility for 12 operating companies generating more than $2.5 million in combined annual sales.

General Sales Manager (1988 to 1998) Sales & Business Manager (1986 to 1988) Driver (1986)

EDUCATION:

B.S., Business Management, Humberton University, Montgomery, AL, 2002


PHILIP T. JACKSON [email protected]

890 Pheasant Lane Home: 301.779-1176 Silver Spring, MD 20906 Cell: 301.699-4510

SENIOR EXECUTIVE CAREER

STRATEGIC PLANNING / FINANCIAL PLANNING & ANALYSIS / INVESTOR RELATIONS

focused on NEW BUSINESS DEVELOPMENT / PERFORMANCE IMPROVEMENT / PROFITABLE GROWTH

Fifteen years of progressively responsible management experience leading critical business planning, analysis, and positioning. Recognized as the quintessential business and financial analyst with top-flight planning, problem-solving, and decision-making skills. Expert in customer and investor relationship management. Talented project manager. Thrive in challenging, fast-paced, opportunity-driven organizations.

Lead from the intersection of business and technology to drive profitable growth in challenging industries, markets, and economic conditions.


MIDLANTIC HOMEBUILDING COMPANIES, INC. (NASDAQ: MHC), Laurel, MD 2010 to 2013 Regional homebuilder with $270 million revenue, 290+ employees & divisions in Charlotte, Orlando & Washington, DC

Vice President of Investor Relations (2011 to 2013) Vice President of Strategic Planning & Analysis (2010 to 2013) Recruited by President/CEO to formalize and professionalize the corporate strategic planning function as the company transitioned through a period of accelerated growth and expansion. Presented critical financial analyses, financial models, weekly trend reports, and market studies to executive management to define the strategic and tactical foundation for company expansion, acquisition, and organic growth. Promoted within first year and assumed concurrent executive-level responsibility for creating, launching, and directing the company's first-ever investor relations function. Built high-profile relationships with investment analysts nationwide through a targeted and well-positioned outreach initiative. Wrote, designed, and produced a portfolio of investor and shareholder communications (earnings press releases, presentations, conference call scripts). • Dramatically improved visibility within the investment community and increased coverage from 4 to 12 analysts from Bank of

America, BB&T, Legg Mason, Scott & Stringfellow, and other firms. Nurtured relationships throughout growth cycle and retained during downward industry spiral.

• Restructured and enhanced senior management's ability to present financial data and situation during quarterly

earnings calls with investors and shareholders. • Captured $3.5M in cost savings by introducing HQ-consolidated purchasing programs to leverage volume and reduce price

points and by streamlining the entire wireless telecommunications infrastructure and operation.

• Appointed to Executive Land Committee, working in cooperation with CEO, CFO, COO, VP of Acquisitions, and Legal Counsel to evaluate multimillion-dollar acquisition opportunities. Prepared detailed valuation analyses, developed cost structures, and recommended highest-profit, highest-yield land usage to support the company's expansion into the Orlando and Charlotte markets. Performed complex operational and financial due diligence of proposed acquisitions.

• Replicated and enhanced long-term resource planning tool originally developed at Hilton (CEO Dashboard) to provide senior

management with critical trend and market data. Introduced capability to transition financial data into critical intelligence that accurately forecasted long-range market performance.


PHILIP T. JACKSON Page 2 [email protected] / 301.699-4510

HILTON INTERNATIONAL, Los Angeles, CA 2001 to 2009

Director – Decision Support Services – Revenue Management Division (2005 to 2009) Led a team of up to 12 business analysts, technologists, and external consultants creating and launching new technology tools to improve pricing and revenue management of more than 2800 Hilton properties worldwide. Concurrently, led 10-person business development support team on multi-year, multimillion-dollar development effort to enhance property pricing and profit. • Led cross-functional executive working group representing Revenue Management and Information Technology to

facilitate definition, design, and lifecycle management of new desktop applications (for immediate release) and enterprise-wide solutions (for long-term development). Accelerated the introduction of new desktop analysis technology tools (data mining, data warehousing, analysis, reporting) to 100+ revenue management field personnel.

• Created web-based revenue matrix weekly reporting tool (Hilton Dashboard) to provide executive management team with

timely, accurate, and easy-to-interpret revenue data for immediate market planning and response.

• Demonstrated outstanding organizational and team leadership skills with 0% employee turnover for 3 consecutive years. Senior Manager – Revenue Analysis (2003 to 2005) Manager – Revenue Analysis (2001 to 2003) Managed high-profile revenue planning, analysis, and reporting organization supporting 1000+ hotels in the US. • Supported double-digit revenue growth throughout the hotel portfolio with the introduction of a series of first-ever technology,

web, and decision support applications to enhance revenue management tools, capabilities, and financial results.

COORS BREWERIES, INC., Golden, CO 1998 to 2001

Manager – Sales Administration Directed sales administration, financial planning/analysis, and pricing for 35-person field sales and sales management organization. Participated in development and allocation of $7.5M annual budget, developed and managed competitive pricing applications and models, and provided financial data for short-term and long-range sales and market planning. • Developed and implemented proprietary IT application for sales force that increased revenue ~20% year-over-year. • Introduced innovative pricing and product management processes that provided Coors with the ability to rapidly and

seamlessly respond to changing market conditions and buying trends. Previous Professional Experience in Financial Analysis & Reporting with Ticketron L.P. and Rhone-Poulenc, Inc.

TECHNICAL EXPERTISE

• TSO, SAS, VBA, SQL, MVS, UNIX, LINUX, Visual Basic, Crystal Reports • Microsoft Word, Project, Excel, Access, PowerPoint, SQL • J.D. Edwards Accounting, PeopleSoft Accounting

EDUCATION

B.A., Economics, University of Colorado, Boulder, CO

Documents

E-Summit: Writing Resumes for Banking, Investment ... · Realm Business Solutions INSIGHT for ARGUS Sage Fixed Asset Solution Sage MAS 200 ERP Sage MAS 90 ERP Sage MIP Fund Accounting