Peter Flores
Austin,Texas
Summary
Accomplished Investment Management Leader with over 15 years of experience in financial analysis, strategic investment planning, and regulatory compliance. Proven track record in managing substantial asset portfolios, enhancing client retention, and implementing robust compliance protocols. Fluent in English and Spanish, with a commitment to fostering relationships and championing diversity, equity, and inclusion.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Senior Portfolio Manager, AVP
Wells Fargo
10.2018 - Current
- Manage a $12.5 billion asset portfolio, focusing on client retention and regulatory compliance
- Lead wealth management strategies, trade implementation, and team leadership to drive financial growth
- Develop talent, enhance client relationships, and champion diversity and inclusion initiatives
Senior Regulatory Financial Compliance Analyst
Charles Schwab
12.2013 - 09.2018
- Led critical compliance and financial strategy, significantly enhancing client retention and reducing operational risks across corporate portfolios
- Ensured full compliance within complex regulatory landscapes, averting potential fines for the company
- Directed a six-member team, decreasing audit timelines by 25% through practical cross-platform reconciliation
- Instituted stringent compliance protocols that led to zero regulatory penalties during tenure
Defined Contribution & Defined Benefit Retirement Plan Representative – Team Lead
Charles Schwab
08.2011 - 12.2013
- Championed team development and leadership, driving high client retention and advancing staff careers through strategic initiatives
- Coached ten phone representatives, resulting in 70% receiving promotions within the organization
- Strengthened relationships with 30+ corporate clients, achieving a 95% annual retention rate
- Spearheaded a transformative digital project, reducing operational costs by 20%
- Organized team-building activities bi-annually, enhancing employee morale and productivity
Loan Underwriting & Research Intern
U.S. Department of Veteran Affairs
06.2010 - 08.2010
- Collaborated in underwriting over 50 VA home loans, applying strict compliance measures to ensure adherence to federal guidelines, contributing to a 100% accuracy rate in loan approval processes
- Utilized data analytics tools to assess and validate 200+ borrower documents for risk factors, leading to a 10% improvement in the predictive accuracy of loan defaults
- Assisted in implementing a streamlined underwriting workflow, reducing process time by 20% and enhancing operational efficiency
- Conducted comprehensive market research on VA loan interest rates and their impact on veteran homeownership, findings that were incorporated into the department's quarterly report, influencing policy recommendations
- Integrated cross-functionally with loan officers, compliance teams, and legal departments to ensure the seamless execution of loan agreements, enhancing team efficiency by 5%
Education
Bachelor of Business Administration - Finance
The University of Texas at San Antonio
San Antonio, TX01.2011
Skills
- Advanced proficiency in Microsoft Excel
- Aladdin Wealth
- Morningstar
- FactSet
- Strong analytical and critical thinking abilities
- Exceptional written communication skills
- Exceptional verbal communication skills
- Exceptional presentation communication skills
- In-depth knowledge of economic strategies
- In-depth knowledge of investment strategies
- In-depth knowledge of portfolio management strategies
- Proven ability to collaborate effectively with cross-functional teams
Certification
- Bloomberg Market Concepts
- FINRA Series 7 and 66 Licenses
Languages
English
Native or Bilingual
Spanish
Native or Bilingual
Timeline
Senior Portfolio Manager, AVP
Wells Fargo
10.2018 - Current
Senior Regulatory Financial Compliance Analyst
Charles Schwab
12.2013 - 09.2018
Defined Contribution & Defined Benefit Retirement Plan Representative – Team Lead
Charles Schwab
08.2011 - 12.2013
Loan Underwriting & Research Intern
U.S. Department of Veteran Affairs
06.2010 - 08.2010
Bachelor of Business Administration - Finance
The University of Texas at San Antonio
Similar Profiles
PATRICIA M. SCHERERPATRICIA M. SCHERER
Regional Bank Private Banker II at Wells Fargo Bank / Wells Fargo AdvisorsRegional Bank Private Banker II at Wells Fargo Bank / Wells Fargo Advisors
Andrew S. HollenbachAndrew S. Hollenbach
Collateral Valuation Analysis at Wells Fargo Home Mortgage and Wells Fargo Bank NACollateral Valuation Analysis at Wells Fargo Home Mortgage and Wells Fargo Bank NA
Laxmikanth ChittampallyLaxmikanth Chittampally
Senior Operational Processor at Wells Fargo India Solution PVT Ltd, Wells FargoSenior Operational Processor at Wells Fargo India Solution PVT Ltd, Wells Fargo
Mayank OberoiMayank Oberoi
Financial Accounting Associate/ Alteryx SME at Wells Fargo International Solutions Private LTD (Wells Fargo)Financial Accounting Associate/ Alteryx SME at Wells Fargo International Solutions Private LTD (Wells Fargo)
Claire LewisClaire Lewis
Senior Client Implementation & Onboarding Consultant– Enterprise Accounts at PopmenuSenior Client Implementation & Onboarding Consultant– Enterprise Accounts at Popmenu