CV, Curriculum Vitae and Online Resumes Search

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Online Resumes with "BROKER DEALER"

Sales Manager - 15 Years of Experience

PROFESSIONAL SUMMARY LICENCES: FINRA Series 24, 7, 65, 63 and Arizona Life and Health Insurance Analytical and collaborative leader with vision to influence and effectively manage an organization with emphasis on financial results, regulatory adherence and operational efficiency. Diversified background in financial services industry with experience in sales and operations management and comprehensive knowledge and skills in...

Tags for this Online Resume: Financial, Sales, Audit, Compliance, Insurance, Management, P&L, Services, Accounting, Asset Gathering

Manager

Summary Over 15 years of experience at major financial institutions with an extensive background in client management and an exceptional track record of cultivating relationships with clients, supervising & motivating staff, and managing projects & product implementations. Established outstanding customer relationships through commitment to superior client service & conducting extensive client reviews with CFOs, treasurers,...

Tags for this Online Resume: Management, Prime, Reviews, Risk Management, Fixed Income, Inventory, P&L, Packaging, Compliance, Custody

Lawyer - 20 Years of Experience - Near 10019

Profile Senior financial services attorney with 20+ years' experience providing strategic legal services for a fixed income broker dealer, a large European corporate and investment bank and an AmLaw 100 law firm. Member in good standing of the New York Bar. Skilled negotiator, communicator, and consensus builder, both inside and outside of organizations. Exceptional breadth and depth of knowledge of widely varying types of ...

Tags for this Online Resume: Structured Finance, Securitization, Investment Banking, Bank, Regulatory, Real Estate, Securities, CLO, Joint Venture, PACE Lending, ABS, Leasing, Broker Dealer, Fixed Income

Lawyer - 18 Years of Experience - Near 07030

QUALIFICATIONS SUMMARY * Legal practitioner with extensive experience advising international financial institutions on international financial transactions, regulatory compliance, government affairs and public policy. * Confident, results-oriented professional with a proven record of delivering outstanding client service. Committed to high ethical standards and comfortable working both independently and in a collaborative t...

Tags for this Online Resume: Banking Industry, Bonds, Business Development, Compliance, Data Management, Financial, Financial Services, Futures, capital markets, AML, Anti-money laundering, foreign corrupt practices, broker-dealer, investment funds, private equity, venture capital, investment advisers, private placements, general business law, government affairs, regulatory affairs, legislative affairs, public policy, public affairs, commercial contracts, prime brokerage, Fintech, Privacy and anti-SPAM, securities products, insurance products, special purpose entities, correspondent banking, derivatives, commodity futures and options, securities law, project management, due diligence, document management

Controller - 12 Years of Experience - Near 90232

SUMMARY * Dynamic accounting and finance professional with over 15 years experience * Vast experience presenting and reporting financial information, forecasting, partnering with business leaders, and working closely with external partners and regulators * A highly effective individual with proven background in building strong relationships based on excellent communication, collaboration and interpersonal skills * Flexible ...

Tags for this Online Resume: Financials, GAAP, Generally accepted accounting principles, Income Statement, Automation, Legal, Focus, Focus reporting, Regulatory Reporting, SEC

Law Clerk - 10 Years of Experience - Near 06880

Summary: * Regulatory Compliance Analyst for major US Broker - Dealers and International Banks. * Regulatory reporting on Futures contracts, Margin Requirements, and Commodities. * Prepare, review and negotiate Prime Brokerage, Derivatives Clearing and Non-Disclosure Agreements. * Maintained a comprehensive database of all completed and pending guarantees and master agreements (MSFTA), including AML/Patriot Act/ OFAC/SDNs. ...

Tags for this Online Resume: Documentation, Complaints, Litigation, Project Manager, SharePoint, Compliance, Relativity 9, ISDA Negotiation, Contracts, Discovery, Motion Practice, Lawyer, Mortgages

Manager - 20 Years of Experience - Near 10033

Highly cross-functional. Skilled in operations management project management client relations finance marketing commercial debt collections and litigation administration. Work with boards of directors bankers executives attorneys insurance brokers government agencies non-profits and vendors. Budgeting payroll and benefits administration staff recruitment and training. * Global competence - extensive international background...

Tags for this Online Resume: Accounts Receivable, Audit, Bankruptcy, Benefits, Budgeting, Operations, Facilities Management, Litigation Admininistration, Lending & Credit, Delinquent Collections

Compliance Manager - 3 Years of Experience - Near 07039

SUMMARY: Dedicated professional with exceptional audit and compliance experience in the financial services industry to include commercial banking, investment banking, international banking, broker dealer and leasing. Extensive knowledge of complex derivative products and fixed income securities and proficiency with performing Anti-Money Laundering (AML), Bank Secrecy Act (BSA) and Office of Foreign Asset Control (OFAC)/Sanc...

Tags for this Online Resume: Financial, Audit, Management, Compliance, Back Office, Microsoft Exchange, Equities, Internal audit, Accounting, Policies and Procedures

Compliance Manager - 11 Years of Experience - Near 78634

Summary Skilled Compliance Officer adept at compliance needs for a Broker Dealer, Investment Advisor and Mutual Fund.

Tags for this Online Resume: Back Office, Billing, Compliance, Financial, Account Reconciliation, Accounts Payable, Accounts Receivable, Microsoft Office, Software

Lead Developer

Profile Offers extensive experience as a Senior Software Engineer and Technical Lead, emphasizing financial services. Adept at translating business requirements into high-quality, cost effective solutions. Proactive problem solver who applies strong analytical, troubleshooting, and multi-tasking abilities to quickly assess critical tasks, take charge, and coordinate resources to ensure timely project completion. Works well ...

Tags for this Online Resume: Agile, Alternative Investments, Application Support, Asynchronous Transfer Mode (ATM), Business Requirements, Ca7, Commissions, Credit Card, Debugging, Disaster Recovery

Organizational Development Specialist - 10 Years of Experience - Near 90046

Accomplishments Charles Schwab Inc. By truly partnering with stakeholders we accomplished a complete change in corporate culture and re-tooled their national sales force and support staff. With this initiative Schwab was finally able to achieve the #1 position in customer service (JD Powers), increase sales 27% + each year, increase employee engagement by 32%+. By aligning the new hire on-boarding program with corporate ini...

Tags for this Online Resume: Customer Service, Cyber Security, Diversity, Insurance, Integrate, Leadership, Training, Development, Learning and development, Sales Training, Chief people officer

Sales Representative - 15 Years of Experience - Near 32899

Qualifications Summary * Proven skills and accomplishments in the sale of fixed, index, and variable annuities to wirehouses and the broker/dealer community. * Provided the strategic vision and strategy for the turnaround of an abandoned territory leading to a seven-fold increase in territory markets share. * Recognized as a polished and clear communicator with an entrepreneurial mindset and the ability to build new and mai...

Tags for this Online Resume: Sales, Strategic Vision, Territory Sales, Wholesaler, Series 26, Series 63, Series 65, Variable Life and Health License, Management, Budgeting