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Online Resumes with "FINRA "
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
Lawyer
Tags for this Online Resume: SEC, Securities and Exchange Commission (SEC), Legal, Capital markets, Distribution, Drafting, Due Diligence, Equities, Equities Trading, Equity
Computer Operator
Tags for this Online Resume: Microsoft, Microsoft Access, Unisys, Information Technology, Integrate, Management, Manufacturing, Microsoft Excel, Project Management, System Analyst
Administrative Assistant - 20 Years of Experience - Near 30308
Highly motivated person with extensive administrative experience in Finance, Purchasing, Information Systems and Health Care, pursuing a career that uses current skill set while providing opportunities for growth.
Tags for this Online Resume: Regulatory Affairs, Administrative Assistant, Audit, ISO, ISO 9001, Logistics, Quality Assurance, Test, Management, Sales Force Automation
SENIOR COMPLIANCE OFFICER
Proven multidisciplinary compliance officer with senior level experience with financial leaders including Deutsche Bank, Merrill Lynch, Nomura, Credit Suisse, AIG and Brown Brothers Harriman. Demonstrated career track record developing strategic roadmaps to ensure SEC, FINRA and GIPS compliance. Skilled at detailed Fortune 500 compliance analysis and accurate asset performance investment reporting. Strong expertise in multi...
Ideal Companies: none
Tags for this Online Resume: GIPS, FINRA, SEC, Policies and Procedures, Compliance, Investment Reporting, Strategic Planning, Personal Trading, Surveillance, Internal Controls, Process Improvements
Financial Analyst - 18 Years of Experience - Near 60645
(Independent Contractor Spectraforce Technologies) * Processed HRU alerts to ensure concurrence and determine if periodic or semi-annual review should be assigned. * Determine after research if correct risk rating was assigned based on business type, product or high risk country attached to alert. * Review all AML alerts generated from KYC Checklist for high risk customers that are screened against OFAC, OSFI and several ot...
Tags for this Online Resume: Audit, Fraud, Quality, Quality Assurance, Quality Control, Management, Underwriting, Aml (Macro Lang), Loan Operations, PEP (Pket Xchnge Protocol, AML, KYC, BSA, Sanctions, Mortgage Specialist
Compliance Officer - 20 Years of Experience - Near 10025
ACCOMPLISHMENTS * Certified Anti-Money Laundering Specialist - CAMS * Created the AML/BSA Internal Audit Program for both the Bank and Broker Dealer * Trained Head Office Audit Team to effectively audit the Bank's AML/BSA program * Fostered a control-oriented environment by developing and implementing the Bank's initial AML policies and procedures to ensure compliance with the United States Patriot Act. * Implemented the Ba...
Tags for this Online Resume: Assessments, Due Diligence, KYC, Aml (Macro Lang), Policies and Procedures, Audit, Microsoft Internet Explorer, Securities, Wire Transfers, Banking Industry
Developer
Tags for this Online Resume: Applications, jQuery, Microsoft ASP.Net, Active Server Pages, Cascading Style Sheets, CSS, HyperText Markup Language, Javascript, Services, Bootstrap
CEO, Chief Distribution Officer, Chief Marketing Officer, President, EVP, SVP
My objective is to bring my extensive experience and expertise in sales, sales management, marketing and relationship management to a thriving organization that wants to grow.
Ideal Companies: Fidelity, BlackRock, Manulife, Nationwide
Tags for this Online Resume: Annuity, Consulting, Financial Services, Management, Sales, Services, Product Design, Distribution, B2B Relationship Management, Change Management, Business Alliances, Restructuring, Project Management, Strategic Planning, Team Leadership, Branding, Performance Management, Client Relations, Product Marketing, Presentations, Business Development, Solution-Based Selling, Product Development, Strategic Partnerships, President, CEO, Chief Distribution Officer, Chief Marketing Officer, Board of Directors, Foundations
Adjudicator
Detail oriented, analytical, leadership minded, and business driven attorney with experience in securities litigation, securities regulation, and legal and compliance. Experience includes structured finance securities, securities class actions, FINRA arbitrations, fixed income securitization analysis, brokerage account analysis, GAAP and Sarbanes-Oxley compliance, corporate governance, staff and paralegal management, and a...
Tags for this Online Resume: Associate, Legal and Compliance, Analyst
Lawyer - 20 Years of Experience - Near 92883
PROFESSIONAL SUMMARY Highly accomplished senior legal executive in positions of General Counsel and Deputy General Counsel. More than 20 years of experience at: (i) $9 billion dollar commercial bank, (ii) multidisciplinary regulatory compliance, risk management and financial advisory firm with offices in Los Angeles, NYC and Washington D.C., (iii) FINRA-registered Broker-Dealer, (iv) SBA-licensed Small Business Investment C...
Ideal Companies: 1946
Tags for this Online Resume: Compliance, Management, Licensing, Interest Rate, Banking Industry, Risk Management, Balance, Balance Sheet, Benefits, Due Diligence, Financial Transactions
Lawyer - 4 Years of Experience - Near 75214
SUMMARY I am a senior commercial litigation and arbitration attorney in private law practice looking for an in-house opportunity. I currently am and have been a partner/shareholder and equity partner in regional and national law firms, with an emphasis on banking and securities litigation, and arbitrations representing broker-dealers, investment advisers, wealth management advisers, hedge funds and private equity firms and ...
Tags for this Online Resume: Arbitration, Litigation, Securities, Bankruptcy, Joint Ventures, A SERIES, Annuity, Automotive, Banking Industry, Billing
