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Online Resumes with "Compliance Examiner"
Securities Compliance Examiner - 20 Years of Experience - Near 30312
Position in the Securities Compliance field
Securities Compliance Examiner / Accountant
Investment accounting professional with over ten years of extensive fund accounting, compliance and examination support experience. Currently working for the U.S. Securities and Exchange Commission providing audit, compliance, and identifying process and controls deficiencies, as well as pursuing a Master of Business Administration (MBA).
Tags for this Online Resume: Bloomberg, Web CRD, IARD, • Lexis Nexis, Factiva, NRSI, • Recommind Application Manager, • Advent Geneva, SAP, Kondor, • Invest One (Sungard), • Antares Total Return Client, Tradar, Ltd., • Edgar, TRENDS, LEAP, MS Office
Financial Manager
Summary of Experience: Seventeen years' experience as a technical expert in the development of Commercial, Multifamily and Residential lending quality control solutions as a Manager of Underwriting. Experienced in compliance regulations including and a strong focus monitoring compliance examinations, risk, income and credit assessment. I work collaboratively with team members in an effort provide tactical implementation by ...
Tags for this Online Resume: Compliance, Corrective Actions, Documentation, Underwriting, Banking Industry, Insurance, Litigation, ROI, Appraisals, Due Diligence
Not Listed
Tags for this Online Resume: Securities, Insurance, Audit, Long Term Care, Mutual Funds, Compliance, Financial, Satellite, Compensation, Email
Accountant
SUMMARY OF QUALIFICATIONS ROCS Consulting Managing Director, 2000 - Present Proprietor of an Independent Consulting practice. The firm specializes in Regulatory, Compliance and Operational consulting for the securities and banking industry. ROCS Consulting provides assistance to Broker Dealers, Registered Investment Advisors, Banks, Trust Companies, Insurance Companies, Investment Companies, Bank Securities Dealers and Tran...
Tags for this Online Resume: Accounting, Back Office, Banking Industry, Capital markets, Complaints, Consulting, Derivatives, Equity, Financial, Financial Reporting
Manager
Tags for this Online Resume: Compliance, Corrective Actions, Management, Accounting, Fraud, Inventory, Risk Assessment, Securities, Assessments, Business Planning
Financial Manager, Branch or Department - 20 Years of Experience
Tags for this Online Resume: Compliance, Management, Banking Industry, Training, Audit, Consulting
General
Ideal Companies: Bloomberg, Apple, Tesla, Amazon
Tags for this Online Resume: Compliance, Documentation, Banking Industry, Cascading Style Sheets, CSS, D3.js, Git, Heroku, HyperText Markup Language, Javascript
