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Online Resumes with "CFTC"
Vice President, Listed Derivative Operations
PETER CHIARACANE 13 Bent Street, Staten Island, New York 10312 (H) 718-948-3193 – (C) 646-872-8450 Email: pterricane@si.rr.com To whom it may concern, I am a Manager with over twenty years of experience in the Futures Exchange Operations, Derivative, Energy, FX Indu...
Financial Analyst - 20 Years of Experience - Near 60601
• Comprehensive business experience in the OTC and Exchange Traded Derivatives working with CFTC, NFA, SEC, and FINRA regulations
• Creative problem solver who thrives on challenges with the ability to plan and execute complex cross-department projects
• High level of integrity and professionalism. Resourceful team builder, goal-oriented, participatory and demanding leader. Excellent interpersonal, organizational and commu...
Tags for this Online Resume:
AML, Swaps, Regulatory , Compliance, Risk Analyst, Compliance Officer
Chief Financial Officer - 13 Years of Experience - Near 07452
AREAS OF EXPERTISE * * Brokerage Operations * Registered Investment Advisors - Asset Management and Wealth Advisors * Taxation * Regulatory Reporting: FINRA, SEC, NFA & CFTC * Internal Controls * Hedge Funds
Tags for this Online Resume:
Accounting, Financial, Management, Asset Management, Capital markets, Cash Flow, Forecasting, Internal Controls, P&L, High Net Worth
Financial Specialist - 17 Years of Experience - Near 10305
To obtain a regulatory controller position where my experience and expertise with SEA and CFTC Segregation and Capital rules can be utilized.
Tags for this Online Resume:
Equity, Reconciliations, Accruals, Balance, Balance Sheet, Bank Reconciliation, Management, FMS, SEC, Securities and Exchange Commission (SEC), finance, accounting, audit, Sec, 15c3, Regulatory
Business Analyst - 13 Years of Experience - Near 75252
Summary * Proven IT Security and Risk Management Professional with ability to aid in development of effective security controls, policies, procedures, and business / technical infrastructure/Enterprise Architecture, as well as manage/ monitor regulatory compliance issues related to: PCI-DSS, SOX404, GRC, SSAE16/SOC 1,2 & 3 /SAS 70, NIST- 800-53, COSO/ COBIT5, ISO 27001/27002, ISO 9001, HIPPA, ITIL, GLBA/SEC, CFTC, AS9100, I...
Tags for this Online Resume:
ISO, SAP, AR, Health Insurance Portability And Accountability Act, PCI, PCI DSS, Policies and Procedures, Applications, DSS, Engineering, it jobs, agile, software, java, sql, c++, javascript, linux, html, c#
Business-to-Business Marketer
Summary Mr. Dastvar has over 29+ years of Excellence in Business Development, Client Execution, and Account Management in the technology, capital markets, Financial, healthcare, insurance, commercial and government sectors. He has developed pipeline, capture plan and strategic partnerships to drive the revenue at a corporate PAT level. He has lead targeting, growing, and developing existing and prospective client relationsh...
Tags for this Online Resume:
Infrastructure, Management, Banking Industry, Business Development, Capital markets, SEC, Securities and Exchange Commission (SEC), Program Manager, Proposal Development, Recruiting
Vice President - Hedge Fund Accouting - 15+ years experience - New York, NY
SUMMARY Trusted finance and operations leader with domestic and global experience in the investment services industry. Focused on setting product direction for profitability, risk assessment and management, project management. Known for implementation of new product lines, integration of acquired entities, development of process and controls that address and manage operational and vendor risk. Enhances bottom-line profits b...
Tags for this Online Resume:
Accounting, Filing, Fund Accounting, Mutual Funds, Valuations, Budgeting, Forecasting, Financial, Financial Oversight, Prime
Application Support
Tags for this Online Resume:
Database, Microsoft SQL Server, MVC, Management, Security, C# Programming Language, Microsoft, Microsoft .Net, Visual Basic, Data Analysis
Featured Profile
A person who is well known and respected for his dedication to his work, family and integrity. Proven to handle adversity in the most critical times.
Experienced Senior Operations Executive focused on developing and evaluating enterprise strategies worldwide. Extremely successful in delivering quality service to clients both external and internal. Built consensus and support across all key stakeholders in implementing new products and services globally. Established well-controlled environments with innovated solutions where risks were properly identified and mitigated. M...
Ideal Companies: Prudential, Metlife, Morgan Stanley, JP Morgan, Deutsche Bank, Federal Reserve NY, any Regulator (CFTC, FINRA, NFA)
Tags for this Online Resume:
Strategic Initiatives, Business Planning, Business Requirements, Cash Flow, Communication Skills, Evaluate, Hedge Fund, Leadership, Project Planning, Operational Risk
Financial Examiner - 25 Years of Experience - Near 11375
SUMMARY OF QUALIFICATIONS * Strong knowledge and broad understanding of the Securities Industry and considerable expertise with US GAAP and International Accounting Standard (IAS). Considerable experience with corporate, broker-dealer and commodities accounting * Broad grasp and strategic understanding of Financial and Regulatory Reporting with emphasis on all SEC and FINRA requirements including the 15c3-1 Net Capital, 15c...
Tags for this Online Resume:
Accounting, Fixed Income, Management, Asset Management, Equities, Financial, Financial Statements, Policies and Procedures, Acquisitions, Assessments
Compensation Specialist
Tags for this Online Resume:
Benefits, Automation, Financial, Human Resources, Management, Project Management, Budgeting, Microsoft Access, Planning, Real Estate
A person who is well known and respected for his dedication to his work, family and integrity. Proven to handle adversity in the most critical times.
Experienced Senior Operations Executive focused on developing and evaluating enterprise strategies worldwide. Extremely successful in delivering quality service to clients both external and internal. Built consensus and support across all key stakeholders in implementing new products and services globally. Established well-controlled environments with innovated solutions where risks were properly identified and mitigated. M...
Ideal Companies: Prudential, Metlife, Morgan Stanley, JP Morgan, Deutsche Bank, Federal Reserve NY, any Regulator (CFTC, FINRA, NFA)
Tags for this Online Resume: Strategic Initiatives, Business Planning, Business Requirements, Cash Flow, Communication Skills, Evaluate, Hedge Fund, Leadership, Project Planning, Operational Risk