Management Customer Service

Simon Dominic Tschupp

Würzenbachstrasse **, **** Lucerne, Switzerland ● +41-76-450-**-** ● *****.*******.*******@*****.***

PROFESSIONAL PROFILE

Strategic, detail-focused and articulate Wealth and Portfolio Manager with a strong track record of success for 13+ years in private banking, wealth and securities management, and investment consulting. Responsible for the management of up to 1 billion (CHF) for both institutional and private clients, as well as overseeing investment proposals and strategies, classic/special mandates, acquisitions, data management and legal requirements. Successfully raised 100+ million (CHF) in institutional and private clients money, while increasing client’s wealth 24% over 3 years. Proactive leader with strong customer-centric focus, interdepartmental collaboration and communication skills. Fluent in Swiss, German, English and French and actively seeking a position in the United States to leverage my investing/portfolio management experience, relationship building, leadership and strong business acumen. Additional areas of expertise include:

• Investment Consulting and Proposals • Legal Requirements and Compliance

• Strategy, Vision and Mission Planning • Fund Analysis and Research

• Relationship and Portfolio Management • Markets and Valuation Rates

• Data Analysis and Reporting • Development and Training of New Employees

• Acquisitions • Written and Verbal Communications

PROFESSIONAL EXPERIENCE

Junior Portfolio Manager, Lienhardt & Partner Privatbank, Switzerland April 2013 - Present

Proactively direct the development, implementation and execution of the investment strategy for the bank in collaboration with executives and co-workers to continue both organic and acquired growth

Responsible for directing 500 million+ (CHF) assets under management for institutional and private clients

Simplified investment process by cutting down investment strategies from 4 to 3, resulting in decreased operational costs and increased time management to better serve all clients

Successfully acquired 10 million (CHF) of institutional money of a pension fund

Oversee emerging markets (worldwide), specifically Asia Equities, which led to a performance contribution of approximately 1% (relative 6%) absolute in all balanced portfolios and an absolute outperformance of approximately 1.8% (relative 10%) in equity portfolios

Direct and oversee investment consulting, relationship management and acquisition, investment proposals, client meetings, and both internal and external reporting to customers

Supervise all classic mandates of Lienhardt & Partner and special mandates for institutional clients

Active member of the investment committee dedicated to improving investment strategies for customers

Write quarterly article for the bank’s magazine Investor, most recently on the bond market and yields

Received National second-place ranking for an investment proposal in the category of Swiss Private Banks

Travel to Brazil, Ecuador, Mexico, Panama, USA, Hong Kong, Macau & Mauritius Oct. 2012 – July 2013

Exam Preparation and Graduation Aug. 2012 – Sept. 2012

Portfolio Manager and Private Banking Assistant, Reichmuth & Co Privatbankier, Switzerland June 2009 – Aug. 2012

Directly responsible for more than 1 billion assets (CHF) with an emphasis on advisory and wealth management; this includes investment proposals, acquisitions, fund analysis, individual/special mandates, strategic advising and relationship management

Raised 100+ million (CHF) in institutional and private clients money due to successful pitching

Increased clients wealth by 24% over 3 years in balanced mandates

Met with Fund Custody Bank and Regulator to assist in consultation of the fund’s investment strategy

Advised clients on diversification recommendations tailored to their specific needs, fund performance, in-depth research on market activity and strategic communication sessions to identity long-term client needs

Successful implementation of a new banking software leading to increased productivity for the banking team

Assistant to the head of private clients (CPC) and general partner (liable to unlimited extent)

Rahn & Bodmer, Switzerland Sept. 2005 – June 2009

Portfolio Management Project Assistant Oct. 2008 – June 2009

• Collaborated with in-house performance team and portfolio managers, application technology and IT,

while managing meetings and test-runs for external vendors (Avaloq Evolution AG)

• Supervised project management timelines, planning, and system testing in the implementation of a

new software designed to improve internal efficiencies, reporting and client communications

• Facilitated reporting, investment policy, benchmarks, weightings, restrictions, overlays, splitting and

rebalancing

Official Asset Master Data & Evaluations Dec. 2007 – June 2009

• Utilized Bloomberg and Telekurs to check rating changes, while performing market-price assessment

in collaboration with the performance team for both market and valuation rates

• Collected information of relevant fund data through analysis and research

• Evaluated all assets, including funds, while handling private funds and checking grey-markets

• Observed all market prices (weekly, monthly, quarterly, semester and annual closings)

• Facilitated training of employees on the responsibilities and expectations of their respective

position, including professional development, critical thinking strategies and time management

• Directed in-house clarifications with diverse posts, such as trade, corporate action, risk, and delivery

• Opened and oversaw the management of asset master data

Official Customer and Bank Master Data (Legal & Compliance) Sept. 2005 – Nov. 2007

• Opened, directed and implemented customer master data for banks, brokers, depositaries, institutional

and private customers, and external asset managers

• Checked and ensured all legal requirements were met (Swiss Bankers Association’s Due Diligence

Agreement and Swiss Money Laundering Act) by collaboration with the legal services and compliance

• Reviewed all openings concerning ID papers and by-laws

• Oversaw inquiries into inheritance money and dormant accounts

• Analyzed data relevant to EUZ and Q.I. to offer better customer support and recommendations

• Managed code words, reviewed terror lists, and read official gazette

• Directly supported customer consultancy and oversaw burden of charges (accounts and depot)

Luzerner Kantonalbank AG, Switzerland Aug. 2001 – March 2005

Private Banking Assistant Feb. 2005 – March 2005

• Supervised customer reception, appointment scheduling, conference room management, foyer

organization, and memo writing of meetings for the company

• Planned business trips and travel arrangements for the Director of International Private Banking

• Cultivated contacts with international clientele with an emphasis on customer relationship building

• Performed general secretarial duties, such as handling international correspondence, mail, etc.

Customer Service (Alternative Sales Channels & Monetary Transactions) Aug. 2004 – Jan. 2005

• Facilitated the sale of banking products by performing an in-depth needs analysis with consultative

selling strategies, which included the activation of cross-selling opportunities when appropriate

• Provided detailed information on banking products through customer emails, internet-banking requests

and in-person meetings with the goal of educating the customer for increased retention

• Managed blocking of accounts, authorizations, account transfers, and other duties as needed

• Answered various bank-account inquires to walk the customer through any issues or concerns

• Compiled customer information to manage and oversee the keeping of appointments

Banking Traineeship Aug. 2001 – Aug. 2004

• Gained experience from top-leaders in private, wealth and securities management, as well as

housing/general credit financing and securities custody management

• Oversaw the service-center and monetary transactions, while managing the cashier’s desk

• Strengthened relationships with corporate clients through detailed consulting and communication

EDUCATION AND QUALIFICATIONS

CFA Chartered Financial Analyst Level I Candidate 2014

AKAD Banking & Finance HFBF, Switzerland 2009 - 2012

Bachelor of Business in Banking and Finance, University of Applied Sciences for Banking and Finance

College for Banking AG Zurich, Switzerland 2009

Completed seminar on Derivative and Structured Products

Completed seminar on the Swiss Bankers Association’s Due Diligence Agreement and Swiss Money Laundering Act (VSB and GwV)

The Swiss Training Center for Investment Professionals, Switzerland 2001-2004

Received Federal Certificate in Banking with an emphasis in office and sales management

SKILLS

Bloomberg, Telekurs, Avaloq Banking Software, Finnova Banking Software, and Microsoft Office Suite.

Proficient in PC user skills with a quick grasp in learning new programs, processes and software applications.

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