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Online Resumes with "BROKER DEALER"
Customer Service Manager
SUMMARY * Experienced IT Project/Program Manager, Scrum Agile Manager, PMP with several years of diverse experience working for major Financial and Medical Corporations. Over 20 plus years in technology in the financial services industry with broad experience in Wealth Management and investment banking, as well as Major Medical and Pharmaceutical Companies. * Completed successful implementation projects with IBM, Quest-Diag...
Tags for this Online Resume: Management, Quality, Quality Assurance, Quality Management, Financial, Financial Services, Services, Mergers, Program Manager, Agile
Accountant
SUMMARY OF QUALIFICATIONS ROCS Consulting Managing Director, 2000 - Present Proprietor of an Independent Consulting practice. The firm specializes in Regulatory, Compliance and Operational consulting for the securities and banking industry. ROCS Consulting provides assistance to Broker Dealers, Registered Investment Advisors, Banks, Trust Companies, Insurance Companies, Investment Companies, Bank Securities Dealers and Tran...
Tags for this Online Resume: Accounting, Back Office, Banking Industry, Capital markets, Complaints, Consulting, Derivatives, Equity, Financial, Financial Reporting
Financial Advisor - 20 Years of Experience - Near 02904
Summary: Confident and highly accomplished financial services leader with 30 years experience. Highly motivated, results oriented, licensed professional with strong closing and sales skills. Strong understanding of business drivers, performance metrics, new business development, training, recruitment, and retention. Excels in building relationships and influencing others to achieve results. Skilled in identifying talent and...
Tags for this Online Resume: Insurance, Life Insurance, Recruiting, Training, Commissions, Financial, Planning, Sales, Annuity, Financial Services
Chief Financial Officer - 20 Years of Experience - Near 10536
Profile: Seasoned Financial Services SVP executive with CFO, Compliance (CCO) and Personnel-HR/Administration Managerial roles. Active SEC Broker-Dealer Registrations (Wynston Hill Capital, LLC - part-time), and Registered Investment Adviser history Director/CFO/Controller Executive Highlights - 40+ years, including 15 years with one Financial Services organization, responsible IN three core disciplines: Financial Accountin...
Tags for this Online Resume: CFO, Financial, Financial Services, Services, Accounting, Balance, Balance Sheet, Business Plan, Cost Accounting, Financial Reporting
Financial Analyst - 15 Years of Experience - Near 10026
Tags for this Online Resume: Insurance, Deposits, Management, Estate planning, Financial, Financial Statements, Planning, Benefits, ISO, Logistics
Project Manager - MBA - 8 years experience - Fortune 500 Experience - Philadelphia, PA.
I am a Project Manager in the Finance Industry with 8 years of professional experience. My experience in Project Management deals with large Mutual Fund Broker/Dealers. With the recent addition of a Masters Degree in Business Administration, I am looking to To obtain a challenging position in Project Management at a growth oriented company that places a high emphasis on analytical and risk management skills. I also am in...
Tags for this Online Resume: Project Management, Systems Support Specialist, Client Services, Matrixed Projects, Investment Analysis, Microsoft Excel
SENIOR COMPLIANCE OFFICER
Proven multidisciplinary compliance officer with senior level experience with financial leaders including Deutsche Bank, Merrill Lynch, Nomura, Credit Suisse, AIG and Brown Brothers Harriman. Demonstrated career track record developing strategic roadmaps to ensure SEC, FINRA and GIPS compliance. Skilled at detailed Fortune 500 compliance analysis and accurate asset performance investment reporting. Strong expertise in multi...
Ideal Companies: none
Tags for this Online Resume: GIPS, FINRA, SEC, Policies and Procedures, Compliance, Investment Reporting, Strategic Planning, Personal Trading, Surveillance, Internal Controls, Process Improvements
Compliance Officer - 20 Years of Experience - Near 10025
ACCOMPLISHMENTS * Certified Anti-Money Laundering Specialist - CAMS * Created the AML/BSA Internal Audit Program for both the Bank and Broker Dealer * Trained Head Office Audit Team to effectively audit the Bank's AML/BSA program * Fostered a control-oriented environment by developing and implementing the Bank's initial AML policies and procedures to ensure compliance with the United States Patriot Act. * Implemented the Ba...
Tags for this Online Resume: Assessments, Due Diligence, KYC, Aml (Macro Lang), Policies and Procedures, Audit, Microsoft Internet Explorer, Securities, Wire Transfers, Banking Industry
Chief Executive Officer
Tags for this Online Resume: Management, Real Estate, Financial, Financial Services, Services, Allergy, Distribution, Product Development, Sales, Business Development
Chief Executive Officer
Tags for this Online Resume: Management, Real Estate, Financial, Financial Services, Services, Allergy, Distribution, Product Development, Sales, Business Development
Director - 20 Years of Experience - Near 33411
Tags for this Online Resume: Management, Real Estate, Financial, Financial Services, Services, Allergy, Distribution, Product Development, Sales, Business Development
Financial Advisor
Tags for this Online Resume: Equities, Prime, Sales, Security, Capital markets, Mba, Management, Asset Management, Defined Contribution, P&L
