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Online Resumes with "BROKER DEALER"
Equity Trader, with customer service
Accomplished finance professional with expertise in strategic equity trading and sound portfolio management.
Tags for this Online Resume: market maker, broker/dealer, trader, execution trader, U2/Brass, NW2 Workstation/Bloomberg
VP Operationa
VP of broker dealer operations
Tags for this Online Resume: Broker Dealer, Fixed Income, Operations , Manager, Financial Industry
Sales Presentations
Aggresive Sales where i'm in front of people closing deals. internal broker dealer whole seller, pharmaceurical sales, Financancial advisor in a bank.
Ideal Companies: Mutual fund whole Seller, Van Eck, Thornburg, Dreyfus, JP morgan chase, Hugo boss, gucci, Pfizer, lilly, GSK
securities compliance professional - 20 years experience
Tags for this Online Resume: securities, broker dealer , regulatory
Compliance Officer for FINRA broker dealer
Compliance Officer for FINRA member firm in New York City or Long Island
Tags for this Online Resume: Supervision
Finance, Los Angeles
Serve in a management,compliance or analyst role at a broker dealer or bank
Tags for this Online Resume: trading, finance, series 24, series 7, analyst, hedge funds, investing, investments, fund
Compliance Manager 18 years Financial Services Industry experience in the area of compliance
Self-directed, technology-savvy financial services management professional with broad experience in branch operations, compliance, and technology. Deep knowledge of institutional/retail equity trade desk compliance, control room, and research compliance. Well versed in risk management standards, policies, procedures, plans, and controls consistent with governing regulations. Skilled in creating Written Supervisory Procedure...
Tags for this Online Resume: Compliance Analyst, Financial Services, Investment Banking, Broker Dealer, AML Compliance, Branch-Level Regulatory Audits
