Financial Specialist Career Research and Resources
AFS Brokerage, Inc.
•Established a new Broker/Dealer in 1990 and was the Compliance Officer and FINOP •Prepared financial reports, budgets and net capital computations •Managed all operational activities ensuring compliance with NASD and SEC regulations •Trained representatives to sell mutual funds, variable annuities and other insurance products •Managed 8 licensed representatives located in bank locations •Customer service liaison between 4 ...
Avg. Salary: $75,000 · Company Rank: Not Available
BancBoston Brokerage, Inc.
•Established new discount brokerage operation within Bank of Boston in 1984. •Formed business strategy and managed staff, operations, marketing, budgeting, and financials. •Formed separate subsidiary 1986, registered as a broker/dealer and executed transition. •Prepared the policies and procedures manual for the new business •Established strong customer service relationship with Bank clients •Marketed the business interna...
Avg. Salary: $75,000 · Company Rank: Not Available
Fidelity Brokerage Services, Inc. & National Financial Services Corp..
•Monitored policies and procedures to ensure compliance with NYSE, NASD and SEC Reg’s. •Provided compliance training sessions and consulting to 100 bank discount brokerage operations •Researched and responded to customer and regulatory complaints for FBSI •Conducted annual compliance audits of 25 branch offices
Avg. Salary: $75,000 · Company Rank: Not Available
NASD, Inc.
•Monitored financial and operation reports from many securities firms •Conducted field examinations of Broker/Dealers enforcing SEC and NASD regulations •Trained new examiners •Conducted pre-memberships interviews with prospective member firms •Boston office, 9/79-6/92; Denver office, 7/78-9/79
Avg. Salary: $75,000 · Company Rank: Not Available
Merrill Lynch, Pierce, Fenner & Smith, Inc.
Team Leader managing, through the syndication process, the structuring, marketing, and execution of syndicated loan transactions for private middle market clients in the Bank's Commercial Real Estate Bank. Primary coverage responsibility was the West Division as well as the Homebuilding Division. Job Responsibilities included: * Personally drive all strategic and tactical aspects of the management of the team in conjunc...
Avg. Salary: $250,000 · Company Rank: Not Available
Carnegie Mellon University, Tepper School of Business
Leadership of fundraising, alumni relations and marketing and communications efforts. Hiring, managing and mentoring a staff of 16 people. Managing relations with university trustees, key alumni donors and prospects. Asking alumni prospects for six, seven and eight figure gift commitments, following up on the asks, negotiating the terms of those gifts and closing on the contribution. I was assessed on the amount of funds ...
Avg. Salary: $35,000 · Company Rank: Not Available
Cornell University, Johnson Graduate School of Management
Trading execution for the hedge fund. When we rebalanced the fund, or when portfolio managers made buy/sell decisions, I executed the trades through our prime broker. At times, for instance we had entered into a position in a very thinly traded security, I developed trading tactics to avoid moving the market in an adverse direction. Investor relations including preparing quaterly performance reports, I was constantly in c...
Avg. Salary: $35,000 · Company Rank: Not Available
Cornell University, Johnson Graduate School of Management
Leadeship of fundraising and alumni relations efforts. Managing relationships with key donors and prospects. Developing strategies to seccure five to seven figure donations from key alumni Strategic planning and execution
Avg. Salary: $35,000 · Company Rank: Not Available
Chemical Bank
Leadership of a three-person credit team. Managing relationships with high net worth business owners, meeting frequently with clients to determine their and their companies financial and baanking needs and proposing how those needs might be met with Chemical's products and services. I met annual revenue goals by ensuring that we were underwriting an adequate volume of loans, growing deposits and selling other fee-based se...
Avg. Salary: $35,000 · Company Rank: Not Available
SunTrust Banks Inc
Provided consultative advice to help business client’s protect against electronic, check and online fraud related to phishing, malware, spyware along with helping clients to report financial crimes to local law enforcement. Responsible for gathering data for the OFAC department to assist with wire investigations. Knowledge and successful completion of all compliance training related to BSA, OFAC, AML, KYC
Avg. Salary: $83,000 · Company Rank: 4.0 out of 5
