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Online Resumes with "BROKER DEALER"



Director of Wholesale Corporate Banking Business Development

Looking for a Senior Relationship Management/Business Development role at an international bank located in New York City. Experience in syndicated and bilateral loans, credit analysis, and facility structuring. Ability to cross-sell a wide range of banking products to meet client needs with a focus on the generation of non-risk fee income. Broad range of C-level contacts covering Diversified Corporates and Financial...

Ideal Companies: Standard Chartered, HSBC, Barclays, Sumitomo Mitsui Banking Corporation, Mizuho Financial Group, CIT, Bank of Tokyo-Mitsubishi, Bloomberg

Tags for this Online Resume: Credit analysis, Portfolio management, Business development, client coverage, cross-selling, syndicated loans, bilateral loans, hedging, risk management, credit, relationship management, C-level contacts, Debt Capital Markets, bond issuance, fee generation, financial institutions, insurance, corporate, banks, broker-dealers, formal credit training, international, revenues, sales, cash management, treasury management, derivatives

Featured Profile

Broker Dealer compliance or operations managment

Financial Services Professional- 12 years experience- Wholesale and Retail Financial Products

I am currently seeking a position primarily in wholesale financial products with distribution channels to broker/dealers of such financial products. I have particular expertise in lending and insurance products.

Result and detail-oriented Senior AML Project Manager with 10+ years of experience directing large scale projects ($10M+) that comes in within tight deadlines and budget constraints (installed ACTIMIZE in 6-8 months); Clearing Firm AML Officer with extens

Seeking AML Project Manager, AML Consultant/contrator job, compliance officer/manager for broker dealer or SEC registered investment advisory firm

Tags for this Online Resume: AML project manager/consultant/officer, Actimize, broker dealer SEC investment advisory compliance regulation, CAMs, series 24 7 4 65 6 insurance license, private equity

Application Support

An accomplished and motivated Financial Services Professional. Proficient in IT SDLC Methodology within application development and as applied to vendor application deployment initiatives. A diversified team player demonstrating the ability to act in multiple role capacities providing the necessary leadership and industry experience to add value to the success of any initiative where involved. Has performed and produced suc...

Tags for this Online Resume: Project manager application development, SDLC, technology

Securities Attorney and Compliance Consultant, Midwest

To work as Counsel for a broker-dealer or registered investment adviser and create value by providing expertise in due diligence, contract, regulatory and arbitration matters.

Tags for this Online Resume: Chief Compliance Officer, Counsel, Lawyer, Portfolio Manager, Analyst, Compliance Consultant

Broker dealer back office specialist / trainer

To utilize my experience to help grow the firm.

Tags for this Online Resume: Brokerage back office specialist, settlement specialist, corporate actions specialist, reconciliation specialist, training specialist, user application testing

AVP, Internal Auditing - CPA with 15 yrs progressive audit experience

An opportunity that will allow the application of my skills and knowledge in risk and controls assessment, securities and insurance industry regulation, people management and collaboration, with opportunity to expand my personal learning and development.

Tags for this Online Resume: Public accounting experience, Risk and controls assessment , Audit planning, AVP Internal Audit, Insurance Industry, Broker Dealer and securities

Featured Profile

Manger of both people and finance

I am looking for an opportunity where I can use my 18 years experience in the Investment Industry, and over 25 total years in business managment to drive a company into a higher level of productivity/profitability. With my MBA and varied career experiences, I believe that I can fit into almost any situation with reduced amount of "catch up" time than normally associated with a person starting a new position.

Ideal Companies: Invesment Banking Firms, Trading Firms (In the Investment Industry).

Tags for this Online Resume: Leadership, Business Development, Business Growth, Growth management, Employee development

Financial Services Specialist

Looking to provide 20 plus years in financial services. Everything from DTC/FED Settlements, Cash mgmt, Stock Record, Bank Reconciliation, and collateral management.

Tags for this Online Resume: Broker Dealer Settlements, Cash , Cash Management, Collateral Management, Trade Settlements, Tri party Allocation, Reconci