Financial Manager, Branch or Department Career Research and Resources
Trillium Trading , LLC
Summary: Comprehensive management and re-engineering of compliance program for proprietary trading firm through the enhancement of internal controls, drafting of Written Supervisory Procedures, Code of Conduct, AML, and various training programs, resulting in two (2) deficiency free FINRA examinations within the last four years. Identified and interpreted FINRA, SEC and other regulatory requirements to advise senior man...
Avg. Salary: $120,000 · Company Rank: 3.0 out of 5
Electronic Specialist , LLC
Summary: Restructuring of company’s financial controls and compliance procedures for technology solutions provider related to expense sharing agreements and the development of cost effective soft dollar tracking systems that ensured compliance to regulatory standards. Collaborated with compliance department to handle regulatory audits, state registrations,continuing membership application, and Written Supervisory Procedu...
Avg. Salary: $120,000 · Company Rank: 3.0 out of 5
FINRA
Summary: Development of relationships with assigned firms to provide education in regulatory standards through monthly reviews, outreach programs, and routine examinations. Analyzed financial reports and other relevant data to ensure compliance with all regulations. Prepared risk-based examination planning packages of assigned member firms. Conducted examinations of firms and reported potential violations to senior man...
Avg. Salary: $120,000 · Company Rank: 2.0 out of 5
Elephant X Dot Com
Summary: Contribution of expertise toward optimizing financial operations by proficiently supervising accounting, settlement activity, and trading. Additionally, provided detailed P&L and sales activity reports instrumental to supporting senior and executive staff in defining and executing targeted business strategies and effective action plans. Managed monthly regulatory inquiries from FINRA /SEC to prepare responses re...
Avg. Salary: $120,000 · Company Rank: 4.0 out of 5
GFI Group
Improved trading efficiencies for international equities settlements department by developing automated profit and loss reporting system. Partnered with the CFO and Settlements Director to enhance review process of the firm’s outsourced clearing operations which led to 20% reduction in monthly clearing costs.
Avg. Salary: $120,000 · Company Rank: 4.0 out of 5
Community Development Corporation of Long Island
Manage loan documentation, invoice and payment processing, and collections. Provide customer service point of contact for borrowers. Interface with governmental agencies in processing guarantee claims and supporting collection of SBA 7a loans. Collaborate with executive management on restructuring loans which cannot be approved using traditional underwriting standards. Liaise with outside counsel on bad debt litigation. Mai...
Avg. Salary: $80,000 · Company Rank: Not Available
Eastern Equipment Funding, LLC
Managed collections and customer service for $85M Equipment Lease and Loan portfolio. Performed due diligence, including collateral review, photographic accounting, and business owner interviews. Reviewed and approved credit restructuring up to $100K. Led 5-person Customer Service staff. Developed vendor network to provide legal, recovery and resale services at minimum expense.
Avg. Salary: $80,000 · Company Rank: Not Available
JP Morgan Chase
Led team of 15 collectors obtaining payments on late-stage delinquency portion of outstanding credit card portfolio. Compiled team performance metrics and provided staff feedback and training. Ensured FDCPA regulation compliance, including policy and procedure change implementation.
Avg. Salary: $80,000 · Company Rank: Not Available
Wilton Industries
• Recruited back to Wilton personally by the COO to assist the implementation of 3 mergers into their platform. • Provided leadership supporting the COO and Program Managers to troubleshoot IT migration issues, labor scheduling, and financial reporting requirements to capture synergies and costs of mergers. • Worked with taskforces of the separate companies to develop plans and strategies to leverage Wilton’s legendary b...
Avg. Salary: $80,000 · Company Rank: Not Available
Coventry Healthcare
• Worked with the Controller, Director of Finance, and CFO to successfully close each month in the time required and with solid, accurate income statements and balance sheets. Review journal entries, drill down on any problems, and direct my staff. • Responsible for providing account managers support and guidance related to their monthly budgets and sales goals utilizing Peoplesoft Nvison to create customized reporting to...
Avg. Salary: $80,000 · Company Rank: Not Available
