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Online Resumes with "Branch Level Regulatory Audits"
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
