Sales Financial

Alain Landais, CFA

** ********* **, *** *****, NY 11746 Cell: 631-***-**** ************@*****.***

Summary

Career driven financial professional with a proven history of operational excellence. I’m a CFA

charterholder with over 6 years experience in the financial services industry. Currently, I’m seeking to add

measurable value to a new financial firm. During my tenure at Capital One, the recommendations I made to

improve operational efficiency were well received, thus yielded two subsequent promotions:

Promoted to Principal Associate 2012

Promoted to Associate 2010

I possess a solid understanding of financial investments and feel that I would transition well to the

institutional side of asset management. Additionally, I can make firm -wide valuations by obtaining

quantitative figures found on a firm’s 10-k statement and then projecting said figures via a financial model in

MS Excel.

Core Competencies

Financial Statement Analysis Basic VBA Programming Ad Hoc Projects

MS Excel Functions

Brokerage Support Operations Linear Regression Analysis

V-Lookup

Investment Suitability Review DCF Analysis Pivot Tables

FINRA Compliance Free Cash Flow Analysis Logic Formulas

Professional Synopsis

11/2007 – 11/2013

Brokerage Principal Capital One Investment Services LLC Melville, NY

Assisted in the supervision of over 100 financial advisors located throughout the Capital One Bank footprint.

Efficiently conducted suitability reviews on new brokerage account openings and monitored investment

recommendations within client portfolios. Prudently acted as liaiso n and aided financial advisors alongside

back office personnel with any operational inquiries presented regarding account openings, firm compliance,

and suitability of investment portfolio rebalancing. Successfully trained new registered principals and

financial advisors on proper firm protocol regarding the aforementioned activities. One of my unique

qualities is that I’m a self-motivated problem solver who possesses an aptitude for critical thinking. Career

highlights include:

Saved over 600 aggregate man-hours by developing a proprietary model in Excel that was used in

testing book of business data integrity during conversion into a new third party tracking application.

Utilized MS Excel functions to dramatically increased book of business accuracy fro m less than 50%

to over 96%, which allowed our financial advisory sales team to better gauge AUM and discover new

revenue growth opportunities.

Created a required item flowchart, which significantly reduced number of pended sales during the

trade settlement process. Additionally, said flowchart was used as a training aid for new hires.

Became the youngest General Securities Principal in my firm’s history.

Education & Development

CFA Institute CFA Charterholder

New York University (NYU) Bachelor of Arts Psychology, May 2007

FINRA Series 24, Series 53, Series 4, Series 7, Series 65, Series 63

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