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Online Resumes with "40 Act"
Corporate Counsel
Thirteen years of experience in the investment management business, specializing in alternative investment products.
Tags for this Online Resume: hedge fund, Advisers Act, '40 Act, mutual fund, managed accounts, broker/dealer
Financial Services Product Manager - 20 Years of Experience - no geographic restrictions
Tags for this Online Resume: Exchange traded fund, investments sales , 40 Act, investments research, securities marketing, securities sales, securities wholesaler, investments due diligence
Chief Financial Officer - 20 Years of Experience - Near 90277
PROFILE Seasoned CFO/COO with early stage experience in Investment Management, Broker Dealers, Fulfillment, B to C Services (e-commerce, call centers and marketing) and start-up telecom & technology companies. Successfully raised capital within the investment management, telecommunications, technology and financial services industries. SEC & FINRA CCO experience with several audits overseen. Broad experience in management, ...
Tags for this Online Resume: A SERIES, Banking Industry, CFO, Compliance, Due Diligence, Financial Industry, Focus, Forecast, Investment Banking, Management, finance, excel, budgeting, management, FINRA, FINOP, capital raising, M&A, accounting, investment management, SEC, Operations, Business Development
Lawyer
SUMMARY Experienced Business and Capital Markets Lawyer with Substantial Transactional, Regulatory and Compliance Experience and Capabilities - Trusted Legal Advisor to Businesses, Control Groups and Management with Demonstrated Communications, Analytical, Drafting, Negotiating, Managerial and Leadership Skills Structured, negotiated, documented and closed numerous business, commercial and capital markets transactions inclu...
Tags for this Online Resume: CMOS, Fixed Income, Fixed Income Trading, Powerhouse, Hedge Fund, Cdo, CMBS, Documentation, Due Diligence, MBS
Employment Attorney and Employee Relations Professional
An astute, dedicated, strong and seasoned Employment Attorney and Employee Relations executive with expertise in performing detailed, intensive investigations within organizations to determine factual information and provide methods for effective resolutions to complex situations, who is in search of a senior-level position within an organization.
Ideal Companies: Guardian Life, Amazon, Amerihealth, Americorp, Excelon, JP Morgan Chase, CBS
Tags for this Online Resume: Compliance Counsel, Employment Counsel, Employee Relations, Employee Relations and Law Trainor, Management, Risk Management, Training, Policy and Procedure Writing, Performance Management, Navex Ethics Point Case Management System proficient, MicroSoft Excel and Power Point proficient, Workplace Investigations, EEO/OFCCP/Title VII Compliance
