Delia Gonzalez

1119 64th Street

Brooklyn, New York 11219
(347) 598-6399

SUMMARY

Investment Assistant with experience in personal banking. Provided customer service to

high net-worth customers. Dependable team player with proven track record of solving
customer issues.

JPMORGAN CHASE BANK & CO., NEW YORK, NY 1990 - 2009

Investment Assistant – Asset and Wealth management (2005-2009)

 Supported Financial Advisors and Portfolio Managers with client services, teamwork,
risk management and compliance issues
 Answered incoming calls from clients and responded to questions handling problems
independently if applicable.
 Customized portfolio’s investment policies according to company guidelines and
client’s investment objective
 Opened new accounts, updated portfolios and prepared quarterly report in preparation
for client service
 Tracked transfer of assets with Financial Services Companies
 Completed all task related to opening new accounts; transfer, receipt of assets and
close account procedures
 Verified accuracy, resulting in quick turnaround for new account activation,
 Handled day to day inquiries from auditors, accountants and regulatory agencies
 Worked closely with other members to resolved and researched trade discrepancies
 Identified non-approved assets, Reduced concentration holdings and eliminated
client’s risk exposure (Reg 9)
 Monitored bond maturities
 Place trades on various investment products (equities, fixed income and mutual
funds)
 Assisted Personal Bankers with client’s checking and savings account utilizing the
FSD Banking System, Verified deposit and maintained account records, assuring
accuracy.

Administrative Assistant – Trust Estate Dept (1990 – 2004)

 Provided administrative and secretarial support to Trust Manager

 Processed expense reports (T&E)
 Monitored staff’s attendance and vacation schedules
 Prepared presentation material for client’s meeting
 Processed bill payment, reducing fiduciary responsibilities to Trust Officer
 Researched and resolved customer inquires, resulting in increased customer
satisfaction

JOSEPHTHAL & COMPANY 1986 - 1989

Compliance Coordinator

 Worked closely with Compliance Director to assist in the registration process (U4)
 Performed background check on new registered representative
 Scheduled client appointments
 Maintained logs of customer’s complaints and resolutions
 Handled trade inquires from SEC, NASD and other regulatory agencies
 Processed restricted sales in accordance with Rule 144
 Researched all class action matters
 Office management task included; filing, supply ordering, processed expense report
for staff, etc.

EDUCATION

CORNELL UNIVERSITY, New York, NY

2 year Certificate (continued education)

BROOKLYN COLLEGE, Brooklyn, NY

Paralegal Certificate

CERTIFICATION

Series 7
Life Insurance
Notary Public

TECHNICAL SKILLS

Excel, Word Perfect, PowerPoint, Outlook

SEI, Long View Trading system, FSD Banking System,
Work Station and Bloomberg