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

Highly skilled finance professional and services manager with more than 15 years of experience
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.


Compliance & Policy

Operations Management
Client Services

Trade Execution
Program Management
Financial Analysis

Relationship Management
Portfolio Management
Business Development

Business Owner, Wantage, New Jersey 2008-2014
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
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.

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
Earning a position of trust with high net worth clients as a valued resource and advisor.


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

Fluent in English & Spanish