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Online Resumes with "FINRA "



Lawyer - 20 Years of Experience - Near 60015

Summary Highly-experienced attorney with excellent leadership and organizational skills. Work in multi- jurisdictional law firms, as in-house general counsel of banking group, as law school adjunct professor, as chair of the leading educational organization for Illinois attorneys, as an educational trainer both in the U.S. and overseas, as a FINRA arbitrator, and as an expert witness in commercial cases. Designing and teach...

Tags for this Online Resume: Acquisitions, Acquisitions and Dispositions, Bankruptcy, Filing, Financial, Litigation, Real Estate, Deductions

Compliance Officer - 13 Years of Experience - Near 01702

Tags for this Online Resume: Compliance, Management, Policies and Procedures, SEC, Securities and Exchange Commission (SEC), Advertising, Email, Financial, Financial Services, Services

Featured Profile

A person who is well known and respected for his dedication to his work, family and integrity. Proven to handle adversity in the most critical times.

Experienced Senior Operations Executive focused on developing and evaluating enterprise strategies worldwide. Extremely successful in delivering quality service to clients both external and internal. Built consensus and support across all key stakeholders in implementing new products and services globally. Established well-controlled environments with innovated solutions where risks were properly identified and mitigated. M...

Ideal Companies: Prudential, Metlife, Morgan Stanley, JP Morgan, Deutsche Bank, Federal Reserve NY, any Regulator (CFTC, FINRA, NFA)

Tags for this Online Resume: Strategic Initiatives, Business Planning, Business Requirements, Cash Flow, Communication Skills, Evaluate, Hedge Fund, Leadership, Project Planning, Operational Risk

Featured Profile

Director of Staffing - 15 years of experience and an exemplary track record of success in sourcing, engaging and hiring top talent in both corporate and search firm environments. Specialized in financial services technology with hands-on experience in rec

Seeking Talent Acquisition Lead to work closely with senior business leaders and hiring managers and the recruiters assigned to those clients, to design and execute region wide talent acquisition strategies to identify, attract and hire high-quality talent for the business/region.

Ideal Companies: Facebook, Google, Goldman Sachs, RBC, Guggenheim Partners, Balyasny, Two Sigma, Bank of New York Mellon, Flatiron, Tech Start ups.

Tags for this Online Resume: Recruiting, Infrastructure, Services, CIO, Compensation, Financial, HR, Human Resources, Intel, Management, software engineer, linux, C#, Full Stack Developer, Front End Developer, Back End Developer, Network Engineer, Cloud, AWS, Palo Alto, Kubernetes, Corvil, Core Java, J2EE, Middleware, Architecture, Network Design, Software Design Network (SDN), Microsegmentation, Technical Security Architect, cyber security analyst, cyber security engineer, cyber security architect

Featured Profile

Experienced AML/Financial Crime Compliance Specialist/JD

I have worked in the financial services industry for twenty-plus years in various roles: as a regulator (US SEC FINRA) as a consultant specializing in anti-money laundering and financial crime (EY KPMG) and in leadership roles within banking compliance functions (RBS Western Union). * I have been a leader in a wide variety of BSA/AML reviews and investigations. I have experience in-depth in KYC, OFAC, fraud and AML investi...

Ideal Companies: Goldman Sachs, JPMorgan

Tags for this Online Resume: Management, KYC, Fixed Income, Banking Industry, Due Diligence, Policies and Procedures, Recruiting, Business Development, Financial, Financial Services

Featured Profile

Chief Financial Officer - 20 Years of Experience - Near 92103

Entrepreneurial executive interested in contributing his 20+ years of international, financial and multi-industry experience and abilities to a dedicated team of talented professionals with a clear vision for growth and profit.

Tags for this Online Resume: Treasurer, International, San Diego, start-up, acquisition, entrepreneur, Sales, Equity, finance, controller, CFO, Director, Singapore, Tokyo, Hong Kong, Dubai, aviation, banking, MBA, FINRA, Brokerage, Growth, Board, KPI, derivatives

Featured Profile

Veteran business development professional

I am motivated and driven by success. Career and job satisfaction are driven through meaningful accomplishments. This is what I pursue in any role with an employer. I have a wide breadth of skills and experience with technology sales as well as financial services. My past success has often leveraged my understanding of the sales process, ability to execute, assess opportunities and close business. I look for a position and ...

Ideal Companies: Financial Services, Digital transformation provider, Analytics provider

Tags for this Online Resume: Sales, Business Development, Financial, Lead Generation, Automation, Consulting, Equity, Infrastructure, Marketing Management, Middleware, Digital transformation, Data analytics, Marketing automation, Consultative selling, Solution Selling, Content marketing, Enterprise Software sales, SaaS

Featured Profile

CEO/COO - 30+ Years of Experience - New York City Metropolitan Area

Senior Strategy and Finance Executive with 15+ years of alternative energy, power generation and real estate experience and 17+ years of Wall Street investment banking and legal experience. Highly focused, self-directed and purpose-driven innovator with clarity of vision and excellent communications skills.

Ideal Companies: EnerNOC, NRG, SunEdison, Sempra, Howard Hughes, AECOM, Chicago Bridge & Iron, Emerson Electric

Tags for this Online Resume: Energy/CleanTech, Distributed Generation, Infrastructure Development, Visionary Leadership, Excellent Communicator, Strategy, Mergers and Acquisitions, Growth, Acquisitions, Real Estate

Project Manager

Tags for this Online Resume: AR, Help Desk, Information Technology, Program Manager, Management, Project Management, Infrastructure, Program Management, Project Manager, Software

Featured Profile

Controller - 20 Years of Experience - Near 66061

CAREER HIGHLIGHTS * Demonstrated success in leadership roles such as Deputy Chief Financial Officer, Finance Director, Finance Manager, and Controller. * Extensive experience within industrious domestic and global environments for prominent companies. * Consistently chosen by senior management to spearhead complex, large scale financial endeavors. * Excellent interpersonal skills, with proficiency in mentoring staff, mainta...

Ideal Companies: Honeywell, Northrup Grumman

Tags for this Online Resume: Enterprise Requirements Planning, Enterprise Risk Management, Financial, Management, Oracle, Oracle ERP, Process Improvements, Financial Industry, Financial Reporting, Management Reporting, SAP ERP, J.D.Edwards ERP, Standard Cost Accounting, Process Cost Accounting, Series 7 Finra License, Series 66 License, Health and Life Insurance License, Board Presentations

Featured Profile

Credit and Risk Manager - 20 Years of Experience - Near 07302

Accomplished financial services and risk management professional with extensive knowledge of the credit and capital markets experienced in securitization, structured finance, corporate lending, derivatives and counterparty analysis having addressed credit, operating and strategic risks across both globally active systemically important financial institutions (GSIFIs) and non-bank financial institutions. Established a track ...

Ideal Companies: Kroll Bond Ratings, Morningstar, Fitch, Moody's, Bloomberg, DTCC, First Data, AXA, New York Life, FINRA

Tags for this Online Resume: ABS, Economics, Financial Industry, Management, Mba, Training, Interest Rate, Microsoft Exchange, Asset Backed Securities, Asset Backed Commercial Paper, Structured Finance, Manager, Credit Analysis, Risk Analysis