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Online Resumes with "FINRA "
Top Securities and Compliance Attorney
Senior Attorney with 20 years of diverse experience in leading financial services organizations. Proven success in reducing risk, resolving complex legal matters and policy problems, negotiating controversial issues, and promoting sustainable financial growth. Excellent writing and communication skills that are complimented by fluency in Spanish. Recognized for sound judgment, strategic foresight, and calm under pressure. ...
Ideal Companies: Wellington Management, Eaton Vance, etc.
Tags for this Online Resume: Securities, Contract Drafting and Review, Legal Research, Analysis and Writing, Regulatory Compliance
Highly Entrepreneurial Executive with Multi-Industry Experience
I'm looking for an opportunity to have a strong impact on the development of a growth-stage firm or a high-potential department of a larger company (entrepreneur or intrapreneur). I am excellent at situational analysis, strategic planning and execution, and team building. I have no fear of decision-making. Difficult project work in an uncertain environment is welcomed.
Ideal Companies: Highly entrepreneurial companies of any size, from Cisco to Mingle.com. Opportunities in green technologies/renewable fuels/medical or healthcare IT/biotechnology especially interesting. Organizations promoting entrepreneurship and startups (incubators, ...) also an option.
Tags for this Online Resume: Strategic Planning, Communications/Presentations, Project and Program Management, Financial Analysis and Modeling, Team Building, Entrepreneurship, Innovation, Marketing, Operations, Competitive Advantages, Process Reengineering, Management Consultant, Incubator, Start-up Company, Growth-Stage Company, Financial Management
Experienced Compliance Manager/Officer - OSJ Assessments, FINRA regulations, Suitable sales
Seeking an opportunity to apply my vast experience and knowledge at a company with dedication to increasing suitable sales of financial products to their client base.
Tags for this Online Resume: Compliance, Financial Services, Brokerage, Series 24, FINRA, SEC
Regional Vice President - mutual fund wholesaler
An external sales position where I can utilize my Richardson Sales training and effectively grow my territory.
Tags for this Online Resume: FINRA Series 7, 66, Proficient with Microsoft Excel, extensive public speaking experience, self-motivated, Toastmasters International member
Former Disc Jockey-can converse tothe public or behind a microphone without any trepidation
I am looking to utuilize my public speaking skills to boost company profits and exposure to the public and for addotional clients. Very strong telephone and "one on one" skills.
Ideal Companies: MFS-
Tags for this Online Resume: Railroad and Oldies" buff", fluent-French
Senior Examiner - Broker Dealer financial experience
Seeking for a career with growth prospectives.
Tags for this Online Resume: FINRA, SEC, NYSE, balance sheet, self starter, fast learner
Regulatory Examiner-11 years experience
As a Principal Examiner with FINRA for nearly 11 years, I have developed my knowledge and skills in an ever changing financial world that could be an asset for your firm. My major responsibilities include leading a field examination team conducting regulatory examinations of FINRA member firms and monitoring the stability, accountability, and supervisory structure of FINRA member firms to ensure compliance with NASD, MSRB,...
Investment Banking Analyst
Tags for this Online Resume: six sigma, finra, cfa, mba
Financial Services - Sales & Relationship Management
Results-driven sales professional with strong analytical and relationship building skills. Also have excellent territory management skills, organizational capabilities, and a strong team player.
Ideal Companies: Fidelity, MFS, Eaton Vance, State Street
Tags for this Online Resume: Consultative Sales, Relationship Sales, Relationship Management, Product Development and Launch, Account Management, Territory Management, Market Research and Analysis, Practice Management Best Practices
FINRA Licensed Financial Professional
stock broker/ financial advisor 7/63/65
financial advisor, stock trading, strong desire to obtain insurance lic. clean Finra records
Licensed Financial Professional
Tags for this Online Resume: NASD/FINRA Licensed
