ANTHONY WHALEY
Bayville,NJ
Summary
Results-driven banking professional with 12+ years of experience in financial services, combining strong analytical capabilities with a track record of achieving business objectives through strategic planning and execution. Detail-oriented and highly skilled in evaluating client activity, identifying potential risk indicators, and making sound decisions in alignment with regulatory standards and internal policies. Demonstrates a strong understanding of risk management principles, client due diligence, and compliance-driven environments. Seeking to transition into financial crime and AML investigations, leveraging investigative thinking and attention to detail.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Private Banker
Morgan Stanley
New York, NY
09.2024 - Current
- Delivered comprehensive banking and lending solutions to high-net-worth clients—spanning securities-based lending, mortgages, and cash management—resulting in $205M in originated lending and $48M in net new assets
- Analyzed client financial profiles, transactional behavior, and source of funds to identify potential risk indicators and ensure alignment with internal policies and regulatory standards
- Coordinated with internal partners (mortgage consultants, underwriters, risk teams) to facilitate seamless loan origination and closing processes
- Educated clients and internal partners on complex lending products, interest rate environments, and financing strategies to support informed decision-making
- Applied risk awareness in evaluating client relationships, escalating concerns when appropriate and adhering to compliance and operational risk procedures
- Collaborated with cross-functional teams to ensure proper documentation, due diligence, and risk mitigation in client onboarding and servicing
- Mentored junior team members and contribute to training initiatives, sharing product knowledge and best practices
Wealth Relationship Manager
Citigroup, Private Bank
New York, NY
09.2022 - 09.2024
- Identified, built and deepen relationships to gain incremental wallet share of the affluent and High Net Worth segment through the use of financial planning, discovery and profiling skills
- Analyzed financial information obtained from clients to determine strategies for meeting clients' financial objectives.
- Counseled clients on financial matters and provided recommendations on investment opportunities, products and services based on client needs and asset availability.
- Followed-up with clients regularly and implemented consultative techniques to stay on top of financial means and objectives.
- Referred opportunities to segment partners where appropriate (including, but not limited to Lending Consultants and Small Business Partners, etc.)
Financial Advisor
TD Private Client Wealth
Tinton Falls, NJ
08.2014 - 09.2022
- Consulted with clients to assess and meet short- and long-term financial goal.
- Interviewed clients to determine income, expenses, financial objectives and risk tolerance in order to develop successful financial plans.
- Assisted clients with planning for and funding retirements using mutual funds and other strategies.
- Implemented diverse wealth management options to meet client objectives.
- Developed and coached junior financial representative's
Education
Master of Science - Business Administration
GEORGIAN COURT UNIVERSITY
Lakewood, NJ12-2016
Bachelor of Science - Finance
KEAN UNIVERSITY
Union City, NJ05-2015
Skills
- Information Security & Data Protection
- Fraud Detection & Prevention Awareness
- Identity Theft Risk Identification & Mitigation
- Suspicious Activity Recognition & Escalation
- Anti-Money Laundering Awareness
- Relationship Management & Client Retention
- High-Net-Worth Client Advisory
- Financial Needs Analysis
- Wealth & Lending Solutions Structuring
Certification
- Series 63
- Series 65
- Series 7
Timeline
Private Banker
Morgan Stanley
09.2024 - Current
Wealth Relationship Manager
Citigroup, Private Bank
09.2022 - 09.2024
Financial Advisor
TD Private Client Wealth
08.2014 - 09.2022
Bachelor of Science - Finance
KEAN UNIVERSITY
Master of Science - Business Administration
GEORGIAN COURT UNIVERSITY