CV, Curriculum Vitae and Online Resumes Search

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Online Resumes with "BROKER DEALER"

Law Office Administrator - 20 Years of Experience - Near 11201

Experienced B/D Attorney/Tax Professional Seasoned, business-oriented broker-dealer, insurance company and insurance agency attorney is seeking a full-time position in the financial services industry. Has 22 years of in-house legal experience in the industry, with substantial experience in regulatory/tax compliance, ERISA/IRA compliance (including formulation and implementation of compliance procedures, supervision of han...

Tags for this Online Resume: New York, In-house counsel, tax, Broker-Dealer, Iowa, Philadelphia

Chief Operations Officer - 20 Years of Experience - Near 10573

SUMMARY Experienced General Counsel with broad legal, operations, compliance, and marketing experience with investment management f`n'ms. General Counsel and CCO of three investment advisory f`n°ms (each had a broker-dealer sub) and one de novo bank. COO of two ofthese firms. Independent Board member of three mutual fund firms.

Tags for this Online Resume: Legal, Securities, Drafting, Account Management, Asset Management, CFO, Management, Marketing Management, Marketing Support, Support, management, investment management

Accountant - 20 Years of Experience - Near 30152

Summary Professional CPA with proven track record with more than 20 years experience overseeing accounting and reporting within the financial sector including broker dealers. Career history of reviewing and approving a high volume of financial data, maintaining organizational compliance with federal regulations pertaining to GAAP, SEC reporting and SOX requirements.

Tags for this Online Resume: Accounting, Banking Industry, Derivatives, Financial, Financial Statement, Management, Regulatory Reporting, Certified Public Accountant, Compliance, Financial Analysis, cpa, controller, accountant, gaap, excel

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

Communications - 20 Years of Experience - Near 76092

Summary: I have more than 28 years of experience in leading Marketing Divisions for large corporations - MetLife, General American, and Life Insurance Company of the Southwest. I also have created sales, marketing and advertising and social media programs for National Marketing Organizations, Brokerage General Agencies, broker-dealers, small companies and start-up companies. As a marketing officer, my strengths include: * D...

Tags for this Online Resume: Training, Business Intelligence, Planning, Sales, Sales Support, Social Media, Strategic Planning, Support, Communications, Leadership

Chief Financial Officer - 20 Years of Experience - Near 80013

Summary: As a Director, Chief Financial Officer, Branch Manager, Financial Controller and Financial Advisor/Consultant I negotiated all contracts from mergers, acquisitions to strategic/license agreements for intellectual property portfolio to employee retention. Interviewed and retained independent certified accountants, attorneys and bankers. Prepared and reviewed all financial reports. Developed and implemented strategic...

Tags for this Online Resume: Financials, Dba (Database Admin), Accounting, Enterprise Software, Software, Development Activities, Audit, accounting, controller, Legal

Not Listed - 20 Years of Experience - Near 60540

PROFESSIONAL SUMMARY Detail oriented securities professional with experience in financial markets, sales, trading, operations and compliance in a broker dealer environment. Seasoned professional with experience in bond trading and working with institutional, high net worth and retail clients in providing customized portfolios to meet each client's financial goals.

Tags for this Online Resume: High Net Worth, Sales, Bonds, Financial, Retail, Compliance, Fixed Income, Government, Problem Solving, Securities, stocks, finra series 7, finra series 63, finra series 65, muni trading

Accountant - 20 Years of Experience - Near 07030

PROFESSIONAL SUMMARY Senior financial officer with experience working for Broker/Dealers, Alternative Investment firms and as a Certified Public Accountant in the Financial Services industry. Successfully launched and built operational infrastructure and accounting controls for several hedge funds while serving as a primary contact for investor relations and due diligence requests. Extensive experience implementing procedur...

Tags for this Online Resume: Financial, Equity, Consulting, Due Diligence, Manufacturing, Budgeting, Cash Management, Financial Statements, Management, Financial Reporting, accounting, cpa, audit, tax, gaap, accountant, excel, controller, finance, manufacturing

Chief Executive Officer - 20 Years of Experience - Near 10010

AREAS OF EXPERTISE PE RSONAL SUMMARY I am a passionate leader with an extensive record of successful management and proven communication New markets development skills. I have lead companies from inception through acquisition, maximizing shareholder return. Sales enhancement WORK EXPERIENCE Organizational reengineering NRS (part of RELX), Lakeville, NY VP, Education October 2016 - Present * Successfully transitioned entire ...

Tags for this Online Resume: Due Diligence, Management, Marketing Management, Sales, Triage

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