Analyst Manager
Resume:
SHIRLEY MAN HUE TRAN
***** ***** *****, ****** *****, CA 92843
E-mail: **********@*****.***
PROFESSIONAL SUMMARY
Diligent Investment Analyst with 8+ years' experience in operations,
trading, and investment analysis. Able to demonstrate expertise in and
dedication to innovating process improvements that positively affect
overall efficiency. Have thorough knowledge of investment management
process and well-versed in SEC rules and regulations. Have ability to
learn quickly and adapt easily to new concepts, software applications, and
responsibilities. Acquired Series 7, 66, and CA Insurance licenses, and
level 2 CFA candidate. Seeking meaningful permanent employment as an
investment professional with an organization where expert skills in the
follow will be of mutual benefit: Analyst, Quantitative Analyst,
Investment Analyst, Portfolio Analyst, Performance Measurement Analyst,
Research Analyst, Equity Analyst, or Financial Analyst.
AREAS OF ABILITY
. Excel skills, advanced ability to create templates, formulas, and
automation.
. Fund analysis, both qualitative and quantitative, including style
consistency and risk-adjusted performance.
. Returns-based styles performance analysis.
. Peer group and ranking analyses.
. Asset allocation analysis.
. Equities and fixed income research and analyses.
. Economics and market research and analyses.
. Basic knowledge of technical analysis.
. Securities trading
. Fund accounting
PROFESSIONAL EXPERIENCE
Investment Consultant, Pacific Life Fund Advisors, Newport Beach, CA (2007-
2008)
Help built investment oversight department for start-up division of a
century old company, with $50 billion variable annuity asset. Designed
investment reports and documented procedures. Supervised and trained
intern on spreadsheet models, reporting, and investment concepts. Provided
senior-level investment support in asset allocation studies, performance
attributions analysis, management fees analysis, and due diligence.
Developed models, including automation of daily, weekly, monthly, and
quarterly performance monitoring reports; cash flow analysis and
projections; key measurement statistics and graphs; and factsheets.
Actively interpreted and reviewed investment results with recommendations
to senior leaders.
. Compiled and reviewed all investment aspects of $50 billion variable
annuity assets.
. Assisted in the investment manager selection process.
. Assisted in written reports on fund performances, sub-advisor
recommendations, and third-party recommendations, such as best
execution reporting vendor and prime-brokerage.
. Interfaced with compliance and sales departments to verify and confirm
investment related publications.
Securities Trader, Glencrest Investment Advisors, Claremont, CA (2006-2007)
Provided execution of all equity trades (blocks then allocations), as
directed by senior managing director, chief investment officer, and
portfolio manager. Monitored and rebalanced all managed accounts in timely
and accurate fashion. Actively sought best execution of each trade and
ensured settlement of all trades. Maintained all records per compliance
requirements and managed soft-dollar arrangements under section 28(e)
guidelines. Part of investment committee, which analyzed market conditions
and projections, equity and bond markets, industries, individual equities,
and other investment opportunities.
Portfolio Administrator/Assistant Portfolio Officer, Mellon Private Wealth
Management, Newport Beach, CA (2004-2006)
Provided portfolio officers wealth management support in areas of
administering managed accounts and ensured funds were fully invested.
Oversaw transaction requests and ensured that they were fulfilled in a
timely and accurate manner. Developed and prepared quarterly performance
review presentations, with a focus on asset allocation, individual equity
and bond reviews, and proposed new allocations when appropriate. Analyzed
existing portfolios and assisted in developing account relationships.
Executed trades upon request, as well as analyzed market and economic
conditions. Monitored and rebalanced all managed accounts in timely and
accurate fashion.
Portfolio Accountant, Capital Guardian Trust Company, Brea, CA (2001-2002)
Provided operations support for trade processing. Reconciled all unsettled
trades. Researched, reviewed, and worked closely with executing brokers,
clearing brokers, and custodians to resolve settlement issues. Provided
operations related ad hoc analysis reports as needed.
. Streamlined the trade reconciliation and settlement process by
drastically reducing the all-day job to a three hour procedure through
automation and computerization.
Research Associate, SAI Capital Management, Seal Beach, CA (1997-2001)
Began as an intern and was promoted to a permanent research role for a
small asset management firm with investments in mutual funds and individual
securities. Researched and analyzed equity markets, including ratios
analysis. Ran and prepared reports on hypothetical back-testing of various
technical trading strategies. Monitored and maintained model portfolios on
a daily basis to ensure that managed accounts were allocated accordingly.
Reviewed and examined numerous mutual fund prospectuses.
EDUCATION
California State University of Long Beach, Long Beach, CA
Bachelor of Science Degree
Major: Finance (GPA 3.24)
OTHER SKILLS
. Proficient in Excel, Word, PowerPoint, Advent (Axys and Moxy),
Morningstar Direct, Zephyr, Bloomberg, Thompson Analytics, Allocation
Master, Baseline.
. Conversant in Vietnamese and Cantonese.
Shirley Tran - Resume Page 2
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