DIANY MARTINEZ

Queens, NY 11106
917.584.5386 dianymartinez1@gmail.com www.linkedin.com/in/dianymartinez

MANAGER
Highly skilled finance professional and services manager with more than 15 years of experience
combining:
Outstanding financial services as part of Private Wealth Management at Morgan Stanley and JP Morgan.
A strong ability to shape policy and process according to regulations and legal statutes, ensuring compliance.
Expert delivery of client services in an entrepreneurial leadership and project management role.
A dedication to customer satisfaction, providing support for client relationship management.
A talent for coaching, mentoring, and training personnel to raise performance and create engagement.

AREAS OF EXPERTISE

Compliance & Policy

Operations Management
Client Services

Trade Execution
Program Management
Financial Analysis

Relationship Management
Portfolio Management
Business Development

PROFESSIONAL EXPERIENCE
Business Owner, Wantage, New Jersey 2008-2014
Manager/Owner
Took on the challenge of a depressed economy to build a highly successful, award-winning business taking a
proactive approach to operations management and strategy to drive program growth, increase sales, and gain a
strong competitive foothold in the community. Leveraged a reputation for personalized service and uniquely
individualized methods to build a referral-based portfolio. Coordinated performance management for 24 team
members. Handled back-office operations and administration, including budgeting, marketing, and process
development. Maintained compliance with state licensing and corporate regulations.
Selected Achievements:
Won multiple community-nominated awards, including the NJ Herald Readers Choice Silver Award and Best
Practices awards from the corporate office.
Reduced assimilation time and shortened learning curves by recruiting, interviewing, training, mentoring, and
developing new joiners.
Gained a strong position as a respected business focused on building a strong foundation for members of the
community.
Established competitive differentiation by building programs from scratch to include a variety of services.
.
MORGAN STANLEY, New York City, New York 1997-2008
Senior Sales Associate III
An integral part of a Wealth Management team that built their client book from the ground up to reach over $3 billion in
assets overcoming stiff competition by providing the best in white glove client service for a number of transactions
with high net worth individuals in Latin America before expanding to a global client base. Demonstrated the value of
Morgan Stanley services to attract clients from JP Morgan and support them in making the switch. Acted as first point of
contact for client onboarding, transactions, inquiries, and services, leveraging in-depth expertise in trading requirements
and maintaining close contact throughout all meetings, presentations, research, and collaboration with other experts.
Assumed responsibility of managing the desk in absence of financial advisors, providing personal attention to the
needs of individual clients. Bridged communications on a number of mission-critical projects, managing all
timelines, status reports, and collaboration. Liaised across multiple departments to service international and
domestic discretionary, advisory, and brokerage accounts. Handled operational controls and oversight of credit risk
data quality. Conducted research into potential risks and rewards of initial and secondary public offerings. Sourced
analysts and strategists in the U.S. and Europe on behalf of clients.
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DIANY MARTINEZ
Page 2 of 2 917.584.5386 dianymartinez1@gmail.com www.linkedin.com/in/dianymartinez

MORGAN STANLEY, New York City, New York

Selected Achievements:
Took an instrumental role in building the client base and achieving significant growth, expanding the client book
to over $3 billion in assets.
Maintained compliance with policies and standards (including Know Your Client and Anti-Money Laundering) by
conducting research and client due diligence, ensuring current information on all regulatory changes while
reducing negative impact to clients.
Serviced global clients including Spanish speaking clients ensuring quality of service across several product
lines, such as banking, global custody, credit, and investment advisory.
Successfully transitioned clients from JP Morgan to Morgan Stanley with zero impact to quality of service.
Trusted as a recognized resource for all teams, encompassing systems, training, research and key milestones.
Represented the team while working with multiple internal groups, including investment management,
legal/compliance, audit, comptrollers, credit risk, operations, middle office, sales/trading, and outside
custodians.
Obtained Series 7, Series 63 and Series 65 licensure allowing me to execute trades for an international and
domestic client base including equity, fixed income, foreign exchange, options and mutual funds.
Established relationships throughout the firm, worked closely with operations and outside custodians to ensure
proper and timely trade settlements.
Assured error-free, flawless client statements, reports, and online information.
Additional roles include Associate for JP Morgan, with involvement in client servicing for high net worth individuals
in Latin America with involvement in cash management, mutual funds investing, time deposits and money
markets. Collaborated with the operations department, loan department, multinational bankers, and international
offices to manage client services including trusts. Highlights include:

Gaining significant exposure to a number of credit products, including asset-backed loans, loan guarantees,
and letters of credit.
Taking an instrumental role with both executive management and team members on credit relationship
management, project delivery, and strategic execution.
Contributing to development and implementation of mission-critical client services guidelines, processes, and
best practices.
Earning a position of trust with high net worth clients as a valued resource and advisor.

EDUCATION & PROFESSIONAL DEVELOPMENT

Bachelor of Arts in English, 2001 Cum Laude: Kean University Union, New Jersey
Series 7, 63, and 65 FINRA Licensure

LANGUAGE SKILLS
Fluent in English & Spanish