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Online Resumes with "BROKER DEALER"
Bookkeeper - 20 Years of Experience - Near 23139
Summary Chief Financial Officer focused on providing quality accounting and financial record-keeping support. CFO and CCO for a Broker Dealer and a sister Investor Advisory Company. Extensive accounting and regulatory reporting experience. Accomplishments Accounting Skills Operated computers programmed with accounting software to record, store, and analyze information for a Broker/Dealer and a Financial Advisory Firm for th...
Tags for this Online Resume:
Accounting, Audit, CFO, Credit Card, Quick Books, sheets, Financial, Securities, Financial Reporting, Accounting Functions, Balance, Balance Sheet, Commissions, Bookkeeper
Accountant - 6 Years of Experience - Near 06880
Tags for this Online Resume:
Regulatory Reporting, Balance, Balance Sheet, Capital markets, Filing, Fixed Income, Management, Audit, broker-dealer accounting, FOCUS, security haircut, capital projections, budgeting, bloomberg, excel, macros, connecticut, vba, cartesis, peoplesoft, SAP, sharepoint, outlook
Broker Dealer Compensation Manager
To work with a small to meduim sized independent broker dealer and help in the growth of the oompany to the next level.
Financial Specialist - 15 Years of Experience - Near Stockholm, Sweden 16835
SUMMARY OF QUALIFICATIONS: Strategic Planning and Management Corporate Communications Currency and Market Analysis Business Analysis and Development Commercial Acumen Project Management Management Consulting Relationship Management Sustainable Strategy Development "I met Jonathan shortly after joining Ernst & Young (EY). He quickly demonstrated his technical skills as well as his ability to communicate effectively in a grou...
Tags for this Online Resume:
Management, Financial, Sales, Banking Industry, Communications, Consulting, Budgeting, Due Diligence, Fixed Income, Forecasting
Featured Profile
Financial Specialist - 15 Years of Experience - Near 02783
Accomplished, outcome-driven Business Governance Manager with year-over-year success in leading challenging initiatives, with emphasis on strategic planning and reviews, scheduling and control, preparing and completing action plans, quality assurance, project development, implementing production, productivity, quality, and customer-service standards. Resolve problems, complete audits, identify trends, determine system impro...
Ideal Companies: United Nations, Goldman Sachs, Merrill Lynch, RBC, JP Morgan,
Tags for this Online Resume:
Data Management, Due Diligence, Licensing, Management, Vendor Management, Distribution, Project Management, Documentation, Risk Management, Banking Industry
Featured Profile
Proven Global & Domestic Key Account Specialist supporitng all major Banks and Brokerage houses.
To improve client relations through clear lines of communication, to reduce any areas of complication within the business and the expectations of clients and their requests. Implementation of proven business practices that increase clients, profits, and client retention which is paramount to growing any business.
Ideal Companies: Financial institutions
Tags for this Online Resume:
Accounts, Management, Relationships, Marketing, Sales, Leader, Charismatic, Problem solving, streamlining
Compliance Officer - 20 Years of Experience - Near 19137
To be the CHIEF COMPLIANCE OFFICER(or at least a senior level Legal or Compliance Officer)of a SECURITIES BROKER DEALOR, investment advisor, investment company/mutual fund
Tags for this Online Resume:
Securities Industry, attorney, compliance professionalionalchief AML Officer, chief compliance officer IND.Broker-Dealer, Investment Adviser, Compliance, Financial, Financial Statement, Financial Statements, Fixed Income, Fraud, Management, Philadelphia, PA, Equities, Council, Financial Services, Banks
Featured Profile
Financial Manager, Branch or Department - 20 Years of Experience - Near 07974
Tags for this Online Resume:
Certified Financial Planner, FINRA SERIES 65, MBA, Portfolio Management, Management, Retail, Bonds, Gateway, Housekeeping, Purchasing
Quality Assurance Specialist - 17 Years of Experience - Near 10018
EXPERIENCE SUMMARY * Strong business knowledge of 12 years in Broker Dealer Industry involving US, European and Canadian Equities, Options, Fixed Income and Mutual Funds in Front Office - Order Management Systems, Middle Office - Trade Allocations & Ticketing systems and Back-office - Trade Settlement, Reporting & Clearing systems involving Fixed Income products using Pershing, MSRB and TRACE. * 14 years of Experience as QA...
Tags for this Online Resume:
Order Entry, Automation, Quality, Quality Assurance, Test, Test Scripts, Connectivity, Equities, Order Entry, Automation, Quality, Quality Assurance, Test, Test Scripts, Connectivity, Equities
Compliance Officer - 19 Years of Experience - Near 11561
SUMMARY Chief AML Officer for global investment firms, evaluating transaction monitoring processes and procedures from a both proactive and lookback perspective and preparing remediation plans to address any gaps. Prepared investigative files utilizing and drafted SARs as needed. Developed complete proprietary IT compliance test-script module to facilitate clear and accurate surveillance and analysis of counterparty risk. G...
Tags for this Online Resume:
Outsourcing, Compliance, Monitoring, SEC, Securities and Exchange Commission (SEC), Training, Management, Equity, High Net Worth, Policies and Procedures
Lawyer
Areas of Expertise Broker - Dealer Regulation * Investment Adviser Regulation* Credit Rating Regulation Risk Management * Policy Development * Regulatory Exams * Team Leadership Strategic Planning * Cross-Functional Leadership * Compliance
Tags for this Online Resume:
Broker-Dealer Regulation, Investment Adviser Regulation, Credit Rating Regulation, Compliance, Regulatory, Legal, Leadership, Outsourcing
Financial Specialist - 15 Years of Experience - Near 02783
Accomplished, outcome-driven Business Governance Manager with year-over-year success in leading challenging initiatives, with emphasis on strategic planning and reviews, scheduling and control, preparing and completing action plans, quality assurance, project development, implementing production, productivity, quality, and customer-service standards. Resolve problems, complete audits, identify trends, determine system impro...
Ideal Companies: United Nations, Goldman Sachs, Merrill Lynch, RBC, JP Morgan,
Tags for this Online Resume: Data Management, Due Diligence, Licensing, Management, Vendor Management, Distribution, Project Management, Documentation, Risk Management, Banking Industry
Proven Global & Domestic Key Account Specialist supporitng all major Banks and Brokerage houses.
To improve client relations through clear lines of communication, to reduce any areas of complication within the business and the expectations of clients and their requests. Implementation of proven business practices that increase clients, profits, and client retention which is paramount to growing any business.
Ideal Companies: Financial institutions
Tags for this Online Resume: Accounts, Management, Relationships, Marketing, Sales, Leader, Charismatic, Problem solving, streamlining
Financial Manager, Branch or Department - 20 Years of Experience - Near 07974
Tags for this Online Resume: Certified Financial Planner, FINRA SERIES 65, MBA, Portfolio Management, Management, Retail, Bonds, Gateway, Housekeeping, Purchasing
