Resume Keywords for Wealth Management & Brokerage Professionals (ATS-Ready List)

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[Wealth Management & Brokerage Professionals] Resume Keywords
How recruiters scan:
  - They scan for license credentials first: Series 7, Series 66, Series 65, CFP, CFA, and fiduciary status signal whether you can legally do the job and how sophisticated a book you can manage.
  - They look for AUM scale and client tier: HNW, UHNW, AUM figures, book of business size, and client count tell them which segment and revenue band you operate in.
  - They check platform fluency: Salesforce CRM, Morningstar, Bloomberg Terminal, eMoney, MoneyGuidePro, Orion, and Redtail are filters — if you know the firm's stack, list it by name.
  - They skim for business development evidence: client acquisition, prospecting, referral generation, net new assets, and revenue per client show you can grow a book, not just service one.
  - They want compliance and regulatory depth: FINRA, KYC, AML, suitability analysis, and SEC compliance show you can operate in a regulated environment without creating risk.
Common ATS mistakes:
  - Writing 'Series 7 licensed' instead of 'FINRA Series 7' — ATS parsers often look for the full FINRA-prefixed form as it appears on job descriptions.
  - Omitting AUM figures entirely — 'managed high-net-worth client portfolios' tells ATS nothing; '$85M AUM across 42 HNW households' passes the filter and the human review.
  - Using 'financial planning' without the platform: MoneyGuidePro, eMoney, and similar tools are explicit ATS keywords that 'financial planning' alone does not cover.
  - Missing client-tier language: HNW, UHNW, mass affluent, and retail are distinct segments — use the tier terms that appear in the job description.
  - No compliance keywords in the experience section — listing FINRA in a credentials line but never mentioning KYC, AML, or suitability analysis in bullets leaves gaps ATS notices.
  - Burying performance metrics in prose instead of bullets — AUM growth, fee revenue, client retention rate, and NPS scores belong in bullet points where ATS and recruiters scan first.
Client Relationship & Business Development: Client Acquisition, Book of Business, HNW Clients, UHNW Clients, Mass Affluent, Relationship Management, Client Retention, Prospecting, Referral Generation, Net New Assets, Client Onboarding, Fee-Based Advisory, Discretionary Authority, Fiduciary Duty
Investment & Portfolio: Portfolio Construction, Asset Allocation, Risk-Adjusted Returns, Investment Advisory, Financial Planning, Discretionary Management, Rebalancing, Alternative Investments, Fixed Income, Equity Research, Estate Planning, Tax-Loss Harvesting, Retirement Planning, Insurance Planning
Compliance & Regulatory: FINRA Series 7, Series 66, Series 65, CFP, CFA, KYC, AML, Suitability Analysis, Regulatory Compliance, SEC Regulations, FINRA Regulations, Risk Management, Compliance Monitoring
Financial Planning Platforms: Salesforce CRM, Morningstar, Bloomberg Terminal, eMoney, MoneyGuidePro, Orion, Redtail CRM, Envestnet, Black Diamond, Tamarac, Fidelity WealthCentral, Schwab Advisor Center, Microsoft Office
Performance Metrics: AUM Growth, Revenue Per Client, Client NPS, Fee Revenue, Total Return, Alpha Generation, Sharpe Ratio, Client Retention Rate, Net New Assets, Wallet Share, Cross-Sell Ratio, ROA, Annualized Return