Hi guys! Just thought I’d ask your honest opinion on being able to transition roles within asset management. I’m a HNW broker with four securities licenses(FINRA 6,7,63, & 65) and four+ years in the industry servicing retail and RIA clients of a respected and successful midwestern firm($175B). I’ve had success in my role, bringing in $1 million in sales leads the last two years and learning a great deal about investments at all levels besides my firm’s bread and butter, which is mutual funds. I wanted to ask if anyone has been successful at transitioning from a sales role to an analyst role without doing the CFA? If so, what skills helped seal the deal?
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Anything's possible. It's not likely though, and may take steps.
I work for a company similar in size but a small bit larger. (BTW, your data has narrowed you down to about 5 potential employers) We're purely quant in my department and don't exactly have "Analysts" but where I sit is as close as they come, since I build and represent the algos we use. Two guys from the internal sales desk took transfers--and pay cuts to join us doing what was essentially grunt work.
One of them has left for a analyst-y type job at another firm, the other is in my department in all but name. One had his Charter, one didn't, although the one that didn't is still working on it.
I appreciate your perspective on this topic. I’ve been sitting in with different analysis groups(fund analysis, investment reporting, compliance). I’d like to move into a job within the firm generating analysis and reports on economic factors impacting funds. What I’ve found is that even though I have substantial experience selling the funds on the front lines, HR does not believe you’re capable of breaking down the different elements without the CFA, which I find wearying given a huge component of my current role is communicating funds’ nature in a way that is digestible to the retail market. I have experience with Excel(Pivots, etc) and some Tableau skill.
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