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Online Resumes with "BROKER DEALER"
I am an experience compliance professional, currently hold series 6, 7, 24, 53, 63 & 65 licenses and California State Insurance license. I am driven to minimize risk for the firm and the client.
I am interested in a compliance position in a supervisory role for licensed brokers, as well as firm opperation personel with responsiblity for maintaining and updating regulatory procedures and ensuring said procedures are followed, to include working closely with upper level management in regard to current regulatory and compliance procedures.
Ideal Companies: Broker-Dealers
Tags for this Online Resume: Microsoft Office, FISERV, on-line trade review, Series 6, 7, 24, 53, 63, 65
brokerage,financial adviser-7 years experience
Tags for this Online Resume: broker-dealer, financial advisor
Leader - Sales and Ops Exp.
High energy, result driven sales leader. Exceptional communication skills with the ability to motivate teams to exceed desired results.
Ideal Companies: progressive and cutting edge company
Tags for this Online Resume: Vice President, Sales, Business Developement, Marketing, Account Management, VP, Sales Director, Director, VP of Sales
Sales Assistant, Orlando
Tags for this Online Resume: broker dealer operations, operations, securities
status quo not acceptable
Resourceful, creative, loyal exceptional interpersonal skills. client centric, continous improvement
Ideal Companies: Goldman Sachs, UBS, Lehman
senior P & S clerk reconcilation of trades back office
To clear trades for a hedge fund or broker dealer
Brokerage
As a License Series 7, 63, 24 & 25 I am seeking a job as a branch manager for a broker/dealer or in a compliance capacity.
Broker Dealer Compliance Attorney
Act as Chief Compliance Officer or Counsel/Attorney for broker/dealer or Investment advisor
CFO/Controller-20 years experience in Broker/Dealer Securities industry CPA
Active role with a progressive organization as a CFO/Controller , not limited to Securites Industry position.
Registered Representative - Securities Licensed and Life Licensed
Successful registered representative with over 20 years of presenting and closing cases with Registered Representatives in their various Broker-Dealers or FINRA firms. With proven ability to apply skills in building and managing relationships directly with a firm’s advisors and representatives to achieve client satisfaction and firm profit.
PRODUCT MANAGER | SALES | ACCOUNT MANAGER | CUSTOMER SERVICE
Financial executive with over 25 years of corporate leadership within the bank/broker-dealer industry. Instrumental in modernizing and creating new products through re-engineering, resulting in revenue improvements. Excellent at planning, motivating a team, problem-solving and decision-making. Adept at knowing the customer and creating the solution. With strong computer proficiency, have led several product developments and...
Experienced financial services professional seeks rewarding sales/sales management position
An opportunity within the Financial Services industry that is both challenging and rewarding and allows me to utilize my extensive experience. I prefer to join a secure company that will allow me to grow as a salesperson/manager and progress through the company based on my performance and accomplishments.
Ideal Companies: Fidelity, John Hancock, MFS, Hartford, Natixis
Tags for this Online Resume: Financial Sales, Sales Management, Mutual Fund, Variable Annuity, Wholesaling, Director, 401(k)
