NAME: K. C. Ellis

OCCUPATION: Group Vice President of Client Services, Financial Services Industry

I never dreamed I’d work in financial services when I graduated with my communication degree. I had taken one economics class (accounting) in college and decided finance didn’t hold a lot of appeal for me. Then I went to a campus information session where a representative from the company that eventually hired me said they often brought on people who didn’t know the difference between a bull and a bear market. They were instead looking for smart, motivated people who could communicate well and had the desire to learn. I went for the interview and got the job.

My firm manages assets for high net worth clients, providing proactive, customized service over the phone and in person. One of my first roles at the firm was to act as a liaison between our clients and our portfolio team. I was tasked with effectively communicating our investment strategy to clients while answering their questions, which could range from complicated investment theory to simple operational requests. Given that each client has a completely different background (in terms of his or her occupation, age, gender, investment experience, etc.), I had to learn how to be flexible in my communication. Through listening to clients, I could find out their depth of knowledge, likes and dislikes, and past experience—and then use this information to provide them with the most helpful, customized answers.

Over my ten years at the company, I’ve served in a number of roles around the firm: operations, customer service, management, and event planning. I’ve enjoyed all of them, even the less traditional finance roles. For example, in event planning, I learned valuable skills such as public speaking, negotiation, and managing vendors and onsite staff. Large-scale events require the work of many people—and good communication between them is essential.

Over the past few years, I’ve moved into a management capacity, and about 25 percent of my time is now spent interviewing potential hires. Despite their different backgrounds (for example, science, business, or academia), the candidates need to have some common communication skills. They must be able to communicate clearly and directly. They must have the ability to explain complex concepts in a simple, understandable way. Above all, they must have empathy—so that they can relay information in a way that best suits the client. Successful portfolio management generally requires investors to be patient and disciplined. Much of what we do is aimed at helping clients stay committed to appropriate, long-term plans. Whether we’re interacting with clients through in-person events, written communication (Web sites, articles, and so on.), or phone calls, we’re focusing on helping them achieve their goals. The most satisfying part of my job is receiving thanks and appreciation from clients—which makes everything worth it.