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Online Resumes with "BROKER DEALER"
Advertising Sales Agent
Tags for this Online Resume: Marketing & Sales, Broker dealer/NASD, Oil & Gas, P.R. Sales, Add. Spec.'s
RVP - External Wholesaler
I want to wholesale Mutual Funds, Annuities or Real Estate through Broker/Dealers and /or other distribution channels.
Brokerage Clerk
Tags for this Online Resume:
middle office support, broker dealer operations, back office, securities broker assistant, broker assistant, sales and trading support
Financial Services Professional/ Relationship Manager
Tags for this Online Resume:
Financial Services, External Wholesaler, External Wholesaler, Financial Advisor, Financial Advisor, Transaction Advisor, M&A, M&A, Broker Dealer, Broker Dealer
Financial Services Professional
Results-focused professional with over 15 years of experience directing day-to-day operations, managing personal book of business and working with institutional and retail high net-worth money managers independent broker dealer, CFP's and stock brokers. As a highly organized and efficient leader with outstanding decision-making and problem-solving skills, I also offer great flexibility in adapting to new situations and envi...
Tags for this Online Resume:
Landscape Design, Estimating & Sales, Sales, Project Management, Marketing & Advertising, Consulting, Financial Services, Business Development, Sales Associate, Practice Management, Relationship Management
Compliance Professional Baltimore, MD
Chief Compliance Officer to a national variable annuity underwriting broker-dealer and Suitability Officer to a national life insurance company with over 15 years of experience in the field of securities and insurance distribution, seeking a challenging position as a member of a securities or insurance legal and compliance team
Tags for this Online Resume:
Compliance Officer, Suitability Officer, Compliance Paralegal, insurance, securities, financial
Featured Profile
Featured Profile
Featured Profile
Audit manager with expertise in all facets of bank & brokerage auditing. I have completed risk analysis at each of the previous banks to establish the audit universe and audit plan. Trained and hired numerous staff members.
Accomplished audit manager with expertise in planning, performing, managing, reviewing, and delivering quality operational and regulatory compliance audits. Able to assess, identify and evaluate business and operational risks aiming to promote operational efficiencies and control improvements. Ensure compliance as with applicable regulations as well as policies and procedures while performing financial, operational & regula...
Ideal Companies: CitiBank, Deuthche bank, JP Morgan, any financial services company as well as broker dealer companies.
Tags for this Online Resume:
Audit, Compliance, Risk Management, Microsoft Office products, Leadership, Audit Professional, Excel, Word, Outlook, Various company IT Systems, Ability to multi task
Senior Compliance Professional
Tags for this Online Resume:
Compliance, Broker Dealer , Mutual Fund, Bank, Investment, FINRA
Featured Profile
Featured Profile
Audit manager with expertise in all facets of bank & brokerage auditing. I have completed risk analysis at each of the previous banks to establish the audit universe and audit plan. Trained and hired numerous staff members.
Accomplished audit manager with expertise in planning, performing, managing, reviewing, and delivering quality operational and regulatory compliance audits. Able to assess, identify and evaluate business and operational risks aiming to promote operational efficiencies and control improvements. Ensure compliance as with applicable regulations as well as policies and procedures while performing financial, operational & regula...
Ideal Companies: CitiBank, Deuthche bank, JP Morgan, any financial services company as well as broker dealer companies.
Tags for this Online Resume:
Audit, Compliance, Risk Management, Microsoft Office products, Leadership, Audit Professional, Excel, Word, Outlook, Various company IT Systems, Ability to multi task
Senior Compliance Professional
Tags for this Online Resume:
Compliance, Broker Dealer , Mutual Fund, Bank, Investment, FINRA
Featured Profile
Audit manager with expertise in all facets of bank & brokerage auditing. I have completed risk analysis at each of the previous banks to establish the audit universe and audit plan. Trained and hired numerous staff members.
Accomplished audit manager with expertise in planning, performing, managing, reviewing, and delivering quality operational and regulatory compliance audits. Able to assess, identify and evaluate business and operational risks aiming to promote operational efficiencies and control improvements. Ensure compliance as with applicable regulations as well as policies and procedures while performing financial, operational & regula...
Ideal Companies: CitiBank, Deuthche bank, JP Morgan, any financial services company as well as broker dealer companies.
Tags for this Online Resume:
Audit, Compliance, Risk Management, Microsoft Office products, Leadership, Audit Professional, Excel, Word, Outlook, Various company IT Systems, Ability to multi task
Senior Compliance Professional
Tags for this Online Resume:
Compliance, Broker Dealer , Mutual Fund, Bank, Investment, FINRA
Audit manager with expertise in all facets of bank & brokerage auditing. I have completed risk analysis at each of the previous banks to establish the audit universe and audit plan. Trained and hired numerous staff members.
Accomplished audit manager with expertise in planning, performing, managing, reviewing, and delivering quality operational and regulatory compliance audits. Able to assess, identify and evaluate business and operational risks aiming to promote operational efficiencies and control improvements. Ensure compliance as with applicable regulations as well as policies and procedures while performing financial, operational & regula...
Ideal Companies: CitiBank, Deuthche bank, JP Morgan, any financial services company as well as broker dealer companies.
Tags for this Online Resume: Audit, Compliance, Risk Management, Microsoft Office products, Leadership, Audit Professional, Excel, Word, Outlook, Various company IT Systems, Ability to multi task
