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Online Resumes with "Clearing Firm"
The Controlled Controller
High energy Controller with exceptional interpersonal, communication and leadership skills. Creative, Loyal, detail driven.
Ideal Companies: MetLife
Tags for this Online Resume: Controller
Liscensed Financial Services Compliance and Operations Professional
Motivated, dedicated, solutions-driven, and analytical financial services professional with 11 years’ combined experience in operations, compliance and sales, coupled with 3 years’ experience working in the National Financial Services’ clearing firm environment. Detail-oriented and organized with a strong customer service orientation. Effective in establishing and maintaining business relationships to ensure compliance and...
Ideal Companies: Citibank, Smith Barney, asset or investment management companies, insurance companies, mutual fund companies
Tags for this Online Resume: Compliance, Operations, NASD Regulations, Financial Services Professional, NASD, Mutual Funds, Annuities, Stocks, Bonds, Life Insurance, Writing Training Materials, Detail Oriented, Training, Effective Writing Skills
The Operational Guru
Highly analytical operations professional with excellent interpersonal skills. Fast learning, great implementation, resourceful, and creative with a smile.
Ideal Companies: Intel, Morgan Stanley, Bank of America, Wells Fargo
Tags for this Online Resume: Business Development, Operations
President of Brokerage Firm
Excellent at management, Sales, Staffing, Meeting new clients, negotiating clearing firm contracts, handling disputes, resource handling and exchange settlements,
Business Analyst, New York
Extensive experience working for mid size brokerage clearing firms and small banks. Expertise in business analyst, auditing and overall back office operations. Proven abilities in timely and quality management reports production and analysis. Key Skills include: Quick to learn new tasks, functions and skills.
Tags for this Online Resume: excel, access, Netx, audit, Business Analyst, power point
Featured Profile
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
Compliance Supervisor
Pacific Pearl Group - West Palm Beach FL
Chief Compliance Officer - 2012,2013
Self Employed - Trader
November 2011 - August 2012
Traded equities and execute various options strategies utilizing research and stock market trends to self sustain my income
Kane Reid Securities dba TradeKing, Fort Lauderdale, Florida
February 2007- January 2011
Supervisor of Compliance and Customer Identification
Responsible for the superv...
Featured Profile
Sales Manager - 20 Years of Experience - Near 43017
Accomplished Sales Management Executive, with extensive senior-level experience in all aspects of account management, business development, compliance, relationship development and revenue generation within the brokerage and investment management industry. Consult effectively with client management to effectively prioritize activities and achieve defined objectives, with the ability to translate client requirements into sal...
Ideal Companies: JPMorgan Chase & Co, PNC Bank, FINRA, SunTrust, Northern Trust, Fidelity, Vanguard, BNY Mellon, Wells Fargo, Franklin Templeton, LPL, Nationwide, American Funds, Federated
Tags for this Online Resume:
Managing Director, Director, Sales Manager
Financial Specialist - 18 Years of Experience - Near 18064
I'm a Financial Investment professional with 18 years experience in mutual fund and client account performance reporting. Expertise in monitoring and reconciling client accounts with custodians.
Tags for this Online Resume:
Lehigh Valley, PA, performance reporting, portfolio management, attention to detail, train new staff, data entry
Compliance Manager - 3 Years of Experience - Near 07039
SUMMARY: Dedicated professional with exceptional audit and compliance experience in the financial services industry to include commercial banking, investment banking, international banking, broker dealer and leasing. Extensive knowledge of complex derivative products and fixed income securities and proficiency with performing Anti-Money Laundering (AML), Bank Secrecy Act (BSA) and Office of Foreign Asset Control (OFAC)/Sanc...
Tags for this Online Resume:
Financial, Audit, Management, Compliance, Back Office, Microsoft Exchange, Equities, Internal audit, Accounting, Policies and Procedures
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
Compliance Supervisor
Pacific Pearl Group - West Palm Beach FL
Chief Compliance Officer - 2012,2013
Self Employed - Trader
November 2011 - August 2012
Traded equities and execute various options strategies utilizing research and stock market trends to self sustain my income
Kane Reid Securities dba TradeKing, Fort Lauderdale, Florida
February 2007- January 2011
Supervisor of Compliance and Customer Identification
Responsible for the superv...
Featured Profile
Sales Manager - 20 Years of Experience - Near 43017
Accomplished Sales Management Executive, with extensive senior-level experience in all aspects of account management, business development, compliance, relationship development and revenue generation within the brokerage and investment management industry. Consult effectively with client management to effectively prioritize activities and achieve defined objectives, with the ability to translate client requirements into sal...
Ideal Companies: JPMorgan Chase & Co, PNC Bank, FINRA, SunTrust, Northern Trust, Fidelity, Vanguard, BNY Mellon, Wells Fargo, Franklin Templeton, LPL, Nationwide, American Funds, Federated
Tags for this Online Resume:
Managing Director, Director, Sales Manager
Financial Specialist - 18 Years of Experience - Near 18064
I'm a Financial Investment professional with 18 years experience in mutual fund and client account performance reporting. Expertise in monitoring and reconciling client accounts with custodians.
Tags for this Online Resume:
Lehigh Valley, PA, performance reporting, portfolio management, attention to detail, train new staff, data entry
Compliance Manager - 3 Years of Experience - Near 07039
SUMMARY: Dedicated professional with exceptional audit and compliance experience in the financial services industry to include commercial banking, investment banking, international banking, broker dealer and leasing. Extensive knowledge of complex derivative products and fixed income securities and proficiency with performing Anti-Money Laundering (AML), Bank Secrecy Act (BSA) and Office of Foreign Asset Control (OFAC)/Sanc...
Tags for this Online Resume:
Financial, Audit, Management, Compliance, Back Office, Microsoft Exchange, Equities, Internal audit, Accounting, Policies and Procedures
Sales Manager - 20 Years of Experience - Near 43017
Accomplished Sales Management Executive, with extensive senior-level experience in all aspects of account management, business development, compliance, relationship development and revenue generation within the brokerage and investment management industry. Consult effectively with client management to effectively prioritize activities and achieve defined objectives, with the ability to translate client requirements into sal...
Ideal Companies: JPMorgan Chase & Co, PNC Bank, FINRA, SunTrust, Northern Trust, Fidelity, Vanguard, BNY Mellon, Wells Fargo, Franklin Templeton, LPL, Nationwide, American Funds, Federated
Tags for this Online Resume: Managing Director, Director, Sales Manager
