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Online Resumes with "BROKER DEALER"
Experienced Business Lawyer and Business Consultant with a lot of experience in finance, securities and commercial law with a great deal of managerial and leadership experience
To be a hands on lawyer and trusted legal adviser to executives and business people and guide them successfully through legal and regulatory issues; To get transactions and business done without legal and regulatory problems; To successfully manage legal and regulatory issues for business, finance, products, transactions and human resources;To structure, negotiate, document and close contracts and transactions for business;...
Ideal Companies: Goldman Sachs, JP Morgan Chase, Citibank, Morgan Stanley, UBS, Credit Swiss First Boston, Edward Jones, Charles Schwab, NY Life, Met Life, Allstate, Prudential, Google, Amazon.com, Simon Properties, Camden Property Trust, Wegman's, Hilcorp, Verizon, AT and T, CVS, United Health, Hewlett Packard, International Paper, Apple, Valero, GE
Tags for this Online Resume: Significant Legal and Regulatory Experience, Get Assignments Done in Time, Excellent Management and Leadership Skills, Creative and Skillful, Excellent Written and Oral Communication Skills, Very Positive Motivator, Great Consensus Building Skills, Trusted Adviser, Great at Structuring, Negotiating and Closing Deals, Team player and strong work ethic
SVP
Managed a Broker Dealer Operations and Trading Department - Compliance focused.
Regulatory Compliance Principal
Tags for this Online Resume: regulatory compliance, risk management, broker dealer operations, FINRA, Financial Services, compliance
Chief Compliance Officer
Seeking senior compliance position with broker-dealer, registered investment adviser, or consultant/contractor
Senior Product/IT Manager - 20 years Experience - Rhode Island
I'm a Project and Product management executive with demonstrated success as a strategic member of corporate leadership teams. I have a strong business and technology background with Institutional Investment firms, Broker-Dealers and Technology vendors. I have demonstrated expertise in establishing strong relationships across business disciplines and departments, thereby unifying management and technology for more efficien...
Assistant Vice President - Banking Broker/Dealer Management and Operations - 19 years Experience
Accomplished, motivated, results-oriented professional with extensive background in Banking Broker/Dealer Management and Operations. Ability to juggle several tasks simultaneously while working under pressure in fast-paced environments. Effectively defines, develops, and implements plans to maximize productivity, efficiency, and profitability. Adept at fostering strong working relationships with individuals from diverse eth...
Tags for this Online Resume: Re-engineering, Big Data, Innovation, Business Intelligence, Analytics, Scorecard
Top-notch Executive Assistant with 7 1/2 years experience in the finance industry
I am an experienced EA with 7 1/2 years supporting the Managing Director of Commission Management and Global Head of Hedge Fund Sales at a leading agency broker dealer.
sr md-30 yrs experience-new york/chicago
30 years in the fixed income market for large global banks and smaller broker/dealers have held both sr management positions as well as production roles on a global basis..looking for similar opportunities
VP Regulatory Reporting (broker-dealer)
Financial professional with experience in researching and interpreting SEC rule 15c3-1 and 15c3-3.
Tags for this Online Resume: Focus reporting, Repo charges, Broker dealer operations, regulatory Analyst, Rule 15c3-1, Rule 15c3-3
Director, Sales Manager - Intermediary Distribution
Highly motivated financial services professional with 20 years experience specializing in mutual fund, annuity, life, and long-term care insurance distribution through bank, broker/dealer and financial planning channels. Proven track record in sales, sales management, staff development and relationship building. Equally adept at developing and growing new business channels and nurturing long-term customer relationships.
Tags for this Online Resume: Financial Services, External Wholesaler, Account Manager, Sales Desk Manager, Sales, Insurance
Former owner of 2 Broker Dealers, recruited 380 reps, maintained top line sales growth of 38% per year.
I enjoy recruiting professionals to sales networks and that was my main role when I owned my 2 broker dealers in years past. I have also dealt with regulators and operational people on many levels in an effort to keep the sale people happy and focused on sales goals.
Tags for this Online Resume: Insurance, Brokerage, Recruiting, Sales, Marketing, Financial Services
