CV, Curriculum Vitae and Online Resumes Search

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Online Resumes with "FINRA "

Customer Service Supervisor - 15 Years of Experience - Near 75082

PROFESSIONAL SUMMARY In August of 2015 I obtained my Texas Real Estate License and established a LLC for the purpose of pursuing Commercial Retail Properties. My duties will touch every part of the process from research and finding properties for sale, through management of the property, on to executing an exit from the property. After 20 plus great years in the Financial Services Industry I took advantage of an opportunity...

Tags for this Online Resume: Communications, Documentation, Annuity, Sales, Financial, Insurance, Series 4, Support, Email, Securities, sales, product demonstrator, brand ambassador, retail, compliance manager

Financial Operations - 13 years experience - New York

Processed client equity, Lepercq de Neuflize & Co.,and Tocqueville Asset Management, New York, NY * Opened, serviced, traded for and reconciled client accounts Oversaw SEC, NYSE, FINRA and Blue Sky compliance filings mutual fund bond and annuity transactions Administered daily operations strengthened client relationships and reconciled accounts Obtained Series 7 63 and 55 licenses . Worked on trade desk

Ideal Companies: Apple, Amazon, Miami Symphony

Tags for this Online Resume: Miami, FL, Management, Data Management, Bonds, Equities, Trading, Settlements, Compliance, International Sales, Hotel, Front Desk, Restaurant, customer service, driver, recruiter, financial, hotel industry, hotel, talent acquisition, South Florida, Fort Lauderdale, FL

Team Leader, CTO, CIO

Experience Summary: Program/Technical Leadership involving Workplace, Technology Platform, Application, Infrastructure and Architecture over and large global teams over the past 30 years * Cloud Stack Technical Strategy for next generation multiCloud Life Assured Compliance startup with a 200 Cloud company ecosystem * Business Data center/wireless ISP Rollup analysis for VC groups - business and technical due diligence on 3...

Tags for this Online Resume: Desktop Computer, Infrastructure, Architect, Accounting, Aerospace, Apache Hadoop, Application Development, Certification for Information System Security Professional, CIO, Cisco, big data, extreme storage, sdn, sde, sds

Compliance Officer - 20 Years of Experience - Near 33414

Profile: Experience in comprehensive, multimillion dollar accounting/controllership disciplines( MBA in Accounting, BS in Computer Science, Passed CPA exam( A faculty for thorough financial analysis( Strong competence in financial problem-solving( Highly effective skills in organizing and communicating( Well developed computer proficiency and interpersonal skills. Principal Examiner / FINRA/New York Stock Exchange Inc. (10/...

Tags for this Online Resume: Accounting, Accounting Functions, Accounts Payable/Receivable, CFO, Financial, Financials, Management, P&L, Payroll, Payroll Taxes, Accounting, Compliance

Lawyer - 17 Years of Experience - Near 18036

SUMMARY Seasoned transactional attorney with 17+ years' of achievements in commercial transaction legal document production and term negotiation globally dealing with procurement of products and services with an emphasis on financial, regulatory and information technology needs. Customer service driven with reputation for ethical conduct and integrity. Knowledgeable on applicability of Dodd-Frank, ERISA, FINRA, Investment A...

Tags for this Online Resume: Services, Audit, Human Resources, Management, Quality, Quality Assurance, Quality Management, Security, Financial, negotiation, procurement, government relations,risk management

PM - BA - UATCoordinator

QUALIFICATIONS: * IT and Operations Professional with significant expertise in all facets of project management, project life cycle, business analysis, UAT coordination and release management within financial markets. * Highly adept in stock records, accounting, income collection, settlements, clearance proofs, client onboarding and technical responsibilities. * Comprehensive background in information technology and back-of...

Tags for this Online Resume: Information Technology, Commodities, Custody, Derivatives, Equities, Integrate, SEC, Securities, Securities and Exchange Commission (SEC), agile

Chief Financial Officer - 20 Years of Experience - Near 21401

* NMLS licensed mortgage banker and FINRA Series 56 equities trader.

Tags for this Online Resume: Equity, Private Equity, Banking Industry, Real Estate, Acquisitions, Mergers, Planning, Strategic Planning, Accounting, Equity and Debt, Finance, M&A, Forex

Computer Programmer - 20 Years of Experience - Near 07205

Release Management and Deployment (including infrastructure as code)., Release Management Services May 2014 Primary Responsibilities: * Provided hands-on technical leadership to ensure secure trusted application base by establishing source code management, automated application build, package and deployment (DevOps) of mission-critical banking systems including cash management, investment banking, compliance and trading sys...

Tags for this Online Resume: Cryptography, Itil, Process Improvement, Security, Services, Version Control, C Programming Language, Coding, Configuration Management, agile, software, linux

Business Analyst - 19 Years of Experience - Near 07030

Summary of Qualifications * Versatile Senior Business Analyst with extensive Investment Banking and Capital Markets experience * Senior Business Analyst with full system development lifecycle experience, including designing, developing, and implementing test plans, test cases and test processes * Nine years as a proprietary trader in Fixed Income, FX, Repo, Equity and Debt Syndicate underwriting. Transitioned from trading t...

Tags for this Online Resume: Fixed Income, Integrate, Business Analysis, Business Analyst, Gloss, Management, Risk Management, Sales, Documentation, Software

Business Analyst - 6 Years of Experience - Near 84015

Familiarity with FINRA and SEC regulations * Ad hoc reporting using sql databases.

Tags for this Online Resume: Management, Project Management, Project Manager, Business Analysis, Business Analyst, Consulting, Infrastructure, Product Development, Professional Services, Program Manager, sql, agile, software

Chief Financial Officer - 20 Years of Experience - Near 90277

PROFILE Seasoned CFO/COO with early stage experience in Investment Management, Broker Dealers, Fulfillment, B to C Services (e-commerce, call centers and marketing) and start-up telecom & technology companies. Successfully raised capital within the investment management, telecommunications, technology and financial services industries. SEC & FINRA CCO experience with several audits overseen. Broad experience in management, ...

Tags for this Online Resume: A SERIES, Banking Industry, CFO, Compliance, Due Diligence, Financial Industry, Focus, Forecast, Investment Banking, Management, finance, excel, budgeting, management, FINRA, FINOP, capital raising, M&A, accounting, investment management, SEC, Operations, Business Development

Not Listed - 20 Years of Experience - Near 60540

PROFESSIONAL SUMMARY Detail oriented securities professional with experience in financial markets, sales, trading, operations and compliance in a broker dealer environment. Seasoned professional with experience in bond trading and working with institutional, high net worth and retail clients in providing customized portfolios to meet each client's financial goals.

Tags for this Online Resume: High Net Worth, Sales, Bonds, Financial, Retail, Compliance, Fixed Income, Government, Problem Solving, Securities, stocks, finra series 7, finra series 63, finra series 65, muni trading