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Cynitresse S. Carter. Branch Analyst. Contents. Introduction Service/Operations Risk/Compliance Business Development Financial Advisor Teams Management. Introduction.

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cynitresse s carter

Cynitresse S. Carter

Branch Analyst

contents
Contents
  • Introduction
  • Service/Operations
  • Risk/Compliance
  • Business Development
  • Financial Advisor Teams
  • Management
introduction
Introduction

My name is Cynitresse Carter, and I’m currently Branch Analyst at Morgan Stanley in St. Louis. I rotated through Service/Operations, Risk/Compliance , Business Development and is now in the last phase of my experience on the branch level assisting not only management with various projects but Financial Advisors as well. Two things that I excel at my current role that relates to this role is when I recode an existing performance spreadsheet to fit in line with an FA’s book of business. This tool shows the client suggestions of reallocating there portfolio. I was able to do this with elementary knowledge of how to use visual basics in excel. I practically went online and research how to create this spreadsheet. Another accomplishment was my ability to take a Pdf design and turn it into a PowerPoint presented to a $100 million dollar prospect. The Family wealth advisor was on deadline to get this presentation completed along with other materials to complete the deal. She won the client because of my help. I decided to apply for this role because it fits more into what I’m strong at. I’m very technical, analytical, very detail oriented, well with project management related task, and I have a strong work ethic as my current manager can attest to. You can give me a project with few instructions and it will be completely prompt and in the way you vision it. Expanding on the technical skill set - I can learn software programs very fast. I’m a fast learner. I have shadowed the operations associate who handles the branch level operational task outlined in the major responsibilities you outline. I feel that I can learn how your platforms work and excel as your Venture Capital Associate.

service operations 3 months
Service/Operations – 3 Months

Operations Associate

Service Associate

  • Trade Adjustments
      • Pre and Post Market execution
  • Trade Errors
  • Document scanning
  • Check deposits
  • Mail
  • Fax
  • Performance reports
  • Account Review
  • Journals
  • Account opening
  • Filing
  • Boxing old files
risk compliance 3 months
Risk/Compliance – 3 Months
  • Pre Audit Projects
    • KYC-Know your client suitability updates
      • Investment objective, Risk tolerance, primary financial need, investment time horizon, liquidity needs, investment experience
      • Assist Financial Advisor on how to navigate the system to complete KYC.
    • Government Remediation
    • Red Flag account inquiry
business development 6 months
Business Development – 6 Months
  • St. Louis Complex Performance Reports
  • Annuities/Insurance products Financial Advisor hold across the complex.
  • Purpose of the report was to find new revenue opportunities
  • Top 20 Preferred Clients by AUM
  • Concentrated Stock
  • Clients that have $2.7 million or more in one position
  • Complex International/Emerging Market Participation %
  • Exposure to non-US Equities
financial advisor teams 12 months
Financial Advisor Teams- 12 Months
  • Research
  • Gather information such as annual reports, prospectus, credit ratings, and outlook of region, market and/or industry of an equity or fixed income position. Created a summary report of this information with my suggestions. (example Genco Shipping & Trade Research made FA respond by selling)
  • Above information has been gathered to put into a book to promote a particular stock position. (American Capital)
  • Research for municipal bonds, particularly school districts, included getting information about foreclosures, annual income, population demographics, education, credit rating, area outlook, and so on.
  • Seminars
  • Sent out prospect and client envelopes
  • Direct clients into seminars and sign them in.
  • Spreadsheets
  • Performance– run on Thomson Reuters positions update continuously
  • Position Evaluation – Are they meeting expectations Option strategy on a stock (upside/downside risk) , Closed-end funds, and UITs
  • Book Evaluation – go over Financial Advisor Mutual Fund part of book to see if he can change positions to those with potential capital gain exposure above 30%. This is a tax strategy for clients.
  • Annuity Rebalancing
  • Auto Reinvestment of Mutual Fund
  • Portfolio Manger Due Diligence Files
  • Complete Litigation paperwork
  • Search for missing cost basis
management continuously
Management – continuously
  • Cover for a Client Service Associate when out on leave (Complex Service Manager)
  • Mailings on behalf of Complex Manager for a Financial Advisor team updates (Complex Manager)
  • Pre-Audit spreadsheet work (Client suitability updates, Staff U4 update status, PM Due Diligence, Social Media, Complaint Files, and Financial Advisor strategy inquiry) (Compliance)
  • New client account opening folder samples (Complex Service Manager)
  • Laminate Documents (Complex Manager)
  • Social Media: Set up google alerts with FA name to see if they are marketing online against firm policies (Compliance)
  • Design word document on the process of account opening and continuous client relationships building (Complex Service Manager)
  • Complaint files: Label, box up files older than six years (Compliance)
  • Organize spreadsheet with accounts that are AAA but are not labeled as such in MS 3D system: Call national new accounts to have them updated (Complex Service Manager)
  • Create spreadsheet of missing Financial Advisor account fees and documents (Complex Service Manager)
  • Organizing excel spreadsheet of debits that needs attention by Client Service Associate of a Financial Advisor (Complex Service Manager)