Financial Examiner Career Research and Resources
H & R Block
Prepare individual tax returns. Including, but not limited to 1040, Schedule C, D, Education credits, and multiple states.
Avg. Salary: $60,000 · Company Rank: Not Available
Creative Arts Workshop
• Document all monetary events for this non-profit organization utilizing Quick Books Pro • Conduct in depth budgetary analysis and prepare documents for external audit • Prepare bi-weekly payroll using a third party payroll co. • Coordinate, reconcile and approve billing • Assemble new hire paperwork • Clerical functions to support office staff
Avg. Salary: $60,000 · Company Rank: Not Available
Alliance Bernstein
• Provided regulatory and compliance advisory support in the following areas: Equity Sales, Sales Trading, Sector Trading, Algorithmic Trading, NYSE Floor Trading and Direct Market Access (DMA) Trading. • Reviewed current practices and procedures with regard to the Firm’s business mix and determined actions required to enhance the Compliance and Supervisory Program. • Responded to regulatory inquiries from FINRA, NYSE, SEC...
Avg. Salary: $60,000 · Company Rank: Not Available
CIBC World Markets
Review, analyze all Equity trading activity.
Avg. Salary: $60,000 · Company Rank: Not Available
Mickelson Investment Management
Portfolio Management Profit Investor Relations
Avg. Salary: $0 · Company Rank: Not Available
Bristol Capital Advisors
Locate profitable investment opportunities Monthly valuation Due Diligence Trade Reconciliations Investor Relations
Avg. Salary: $0 · Company Rank: Not Available
State of Vermont Department of Financial Regulation
Market Conduct Examiner, Insurance Division Conducts highly complex investigations & examinations involving financial services companies and insurers to ensure compliance with Vermont Law. Conducts investigations regarding producer & company licensing and market conduct. Presents investigative findings and reports suspected violations of Vermont Law to General Counsel. Securities Examiner, Securities Division Conducts de...
Avg. Salary: $80,000 · Company Rank: Not Available
National Life Group / Sentinel Investments
Vice President, Key Accounts (SI) Initiated and implemented Sentinel Investments’ first National Accounts concept and strategy. Managed financial intermediary relationships with broker dealers, trust companies and retirement planning partners. Negotiated distribution and revenue sharing agreements with distribution partners. Supervised two direct operational key account managers. Marketing Development Consultant (NLG) D...
Avg. Salary: $80,000 · Company Rank: Not Available
Santander Bank
Tracking audit findings to resolution. Working with executive level personnel to obtain audit information to close open items
Avg. Salary: $0 · Company Rank: Not Available
First Commons Bank
Responsible for all compliance matters to include BSA/AML. Chaired Audit and Compliance Committees. Reported any outstanding audit matters to the Audit Committee.
Avg. Salary: $0 · Company Rank: Not Available
