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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

Featured Profile

SALES & PRODUCT DEVELOPMENT Prime Brokerage, correspondent clearing

FINANCIAL SERVICES | FULL SERVICE CLEARING SOLUTIONS | PROJECT MANAGEMENT EXPERTISE

Tags for this Online Resume: Broker-Dealer, Prime Brokerage, Correspondent clearing, Customer Service, Relationship Manager , Margin.credit

Relationship Manager or sales rep at custodial financial firm

Greetings: With close to 12 years working within Institutional Services I come with a uniquely strong and well-rounded background in all aspects of servicing high-end financial planners and registered investment advisors. I’ve touched all areas of the organization while providing our clients guidance on the most complex scenarios and creatively resolving sensitive issues. My in-depth knowledge allowed me to train all n...

Tags for this Online Resume: Relationship Manager , Financial Advisors , Brokerage industry , Broker Dealer , RIA , Sales wholesaler

Financial Services/Senior Operations Specialist - 20+ years experience

To work for a Broker/Dealer and/or bank in their Operations area.

Tags for this Online Resume: International Settlements, Operations, Bank Reconciliation, Broker/Dealer, Back Office, Senior Operations Specialist

Securities Attorney

Tags for this Online Resume: Tampa, general counsel, financial services, attorney, regulatory, broker dealer