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Online Resumes with "Consultant Legal compliance"
Financial Specialist - 20 Years of Experience - Near 07047
Summary of qualifications: Possess Knowledge of Fixed Income and Equity Securities. Compliance Marketing Materials Review/Approvals * Investment Company/Advisers Act 1940 Charles River and Sentinel Latent Zero rule library coding/surveillance. Spearhead the creation of new attributes for implementation. Proficient in rule construction/Bloomberg navigation. Extract restrictions from Prospectus/SAI's/KAGB German Regulations/C...
Tags for this Online Resume: Compliance, Fixed Income, Advertising, Asset Management, Audit, Bloomberg, KYC, finance, compliance legal/aml/bsa/kyc/advertising and marketing, Custody, compliance,AML/BSA/OFAC, advertising and marketing
Senior Counsel/Compliance Counsel Mortgage Industry - Compliance Counsel/Financial Services - 20+ Years Experience
Stripped down to its core, my "Career Objective" is to maintain - through those policies and procedures I have created - a clear understanding that upholding a viable "culture of regulatory compliance" does NOT automatically equate to a loss of business or operational interference.
Tags for this Online Resume: Compliance, Consulting, Litigation, Financial Industry, counsel, Complaints, general counsel, chief compliance officer, Policies and Procedures, Financial, Senior Counsel, strategist, regulatory compliance, Dodd-Frank, Privacy/Reg B
Lawyer - 20 Years of Experience - Near 70001
Expertise in financial industry "cradle to grave" regulatory law and compliance. * Subject Matter Expert (SME) Dodd-Frank Act (Title X-CFPB, Title XIV-Mortgage Reform/Anti-Predatory Lending) mortgage industry loss mitigation options (e.g., financial restructuring, loan modifications, foreclosures). short sales, loan mods). * Developed nation-wide regulatory strategies, policies/procedures related to financial services indu...
Tags for this Online Resume: Policies and Procedures, Financial, Financial Industry, Management, Risk Management, Audit, Litigation, Quality, Quality Assurance, Quality Control
