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Online Resumes with "FINRA "
Audit manager with expertise in all facets of bank & brokerage auditing. I have completed risk analysis at each of the previous banks to establish the audit universe and audit plan. Trained and hired numerous staff members.
Accomplished audit manager with expertise in planning, performing, managing, reviewing, and delivering quality operational and regulatory compliance audits. Able to assess, identify and evaluate business and operational risks aiming to promote operational efficiencies and control improvements. Ensure compliance as with applicable regulations as well as policies and procedures while performing financial, operational & regula...
Ideal Companies: CitiBank, Deuthche bank, JP Morgan, any financial services company as well as broker dealer companies.
Tags for this Online Resume: Audit, Compliance, Risk Management, Microsoft Office products, Leadership, Audit Professional, Excel, Word, Outlook, Various company IT Systems, Ability to multi task
Senior Compliance Professional
Tags for this Online Resume: Compliance, Broker Dealer , Mutual Fund, Bank, Investment, FINRA
Featured Profile
Featured Profile
Controller/Asst. Controller/Acctg. Manager-Supervisor - 15+ years experience
Experience new challenges, develop and enhance existing expertise, while training/developing others grow and succeed together with the Company's growth and success.
Tags for this Online Resume:
SEC/FINRA Rules compliance, FINRA 15c3-1 & 15c3-s FOCUS Reports, Multi-Entity ME/YE Financial Reports/Cash Management, Benefits/Payroll Administration and Staff Development, Proficient with Microsoft Word/Excel, QuickBooks, ACCPAC, Sun System and Champion Acctg. Softwares
Featured Profile
Registered Administrative Assistant/Office Manager
Registered Administrative Assistant/Office Manager
Tags for this Online Resume:
series 6, series 63, life/health license, registered, finra
Brokerage Services, New York, NY
Over 12 years combined experience in Client Services, Brokerage, insurance, and Mutual Fund Back Office Operations. I am looking to target a position back into Brokerage Operations, or as a Trader’s Assistant. My goal is to utilize my FINRA Series 7 and 55 licenses.
Tags for this Online Resume:
Brokerage, Back Office Operations, Business Analyst, Order Entry - Trader Assistant, Trade Surveillance , Fund Performance
Financial Analyst
I hope to continue growing my experience in the financial services industry for the next few years before testing for certain FINRA and Global Professional certifications. Thereafter, I wish to complement my academic achievements with a business school graduate degree.
Tags for this Online Resume:
Microsoft Excel, Microsoft PowerPoint, Financial Analyst, Banking, Bloomberg Terminal, German, Hindi
Featured Profile
Wealth Management and Investment Portfolio Management Professional
I am a goal-oriented investment professional with a history of solid investment results in managing equity and fixed income portfolios. Skilled at decision-making within the framework of a disciplined investment process and establishing successful investment strategies. Energetic team player with exceptional ability to motivate team members to excellence. Demonstrated ability to work independently within a corporate stru...
Ideal Companies: AON Hewitt, Atlanta Capital Investment Managers, BB&T Wealth Management, Brinker Capital Management, Bryn Mawr Trust, Callan Associates Inc., Federated Investments, Fidelity, First Citizens Bank of NC, Hancock Bank, Invesco, Lowry Hill Capital Management, Piedmont Investors, PNC Wealth Management, Regions Bank, Ronald Blue and Co, RW Baird, Sageworth Investment Advisors, Sterling Capital Management, SunTrust, Susquehanna Wealth Management, Synovus, T. Rowe Price, UMB Bancshares, Vanguard, Willis Investment Counsel, Wilmington Trust Investment Advisors
Tags for this Online Resume:
Chief Investment Officer, Portfolio manager, problem solving, leadership, compliance officer, equity, fixed income, Team Building, strategy development, Relationship Management, Business development
Chief Compliance Officer, Privacy Officer, Anti-Money Laundry Officer
I am the Chief Compliance Officer, Anti-Money Laundry Officer, and Privacy Officer with a number of years in securities brokerage/investment advisory and insurance compliance. I oversee the brokerage, investment advisory and insurance areas; however, I am seeking out new opportunities. I hold a number of FINRA designations (Series 7,24,53,63,66), am a licensed insurance producer in Illinois, and am a Certified Regulator...
Featured Profile
Controller/Asst. Controller/Acctg. Manager-Supervisor - 15+ years experience
Experience new challenges, develop and enhance existing expertise, while training/developing others grow and succeed together with the Company's growth and success.
Tags for this Online Resume:
SEC/FINRA Rules compliance, FINRA 15c3-1 & 15c3-s FOCUS Reports, Multi-Entity ME/YE Financial Reports/Cash Management, Benefits/Payroll Administration and Staff Development, Proficient with Microsoft Word/Excel, QuickBooks, ACCPAC, Sun System and Champion Acctg. Softwares
Featured Profile
Registered Administrative Assistant/Office Manager
Registered Administrative Assistant/Office Manager
Tags for this Online Resume:
series 6, series 63, life/health license, registered, finra
Brokerage Services, New York, NY
Over 12 years combined experience in Client Services, Brokerage, insurance, and Mutual Fund Back Office Operations. I am looking to target a position back into Brokerage Operations, or as a Trader’s Assistant. My goal is to utilize my FINRA Series 7 and 55 licenses.
Tags for this Online Resume:
Brokerage, Back Office Operations, Business Analyst, Order Entry - Trader Assistant, Trade Surveillance , Fund Performance
Financial Analyst
I hope to continue growing my experience in the financial services industry for the next few years before testing for certain FINRA and Global Professional certifications. Thereafter, I wish to complement my academic achievements with a business school graduate degree.
Tags for this Online Resume:
Microsoft Excel, Microsoft PowerPoint, Financial Analyst, Banking, Bloomberg Terminal, German, Hindi
Featured Profile
Wealth Management and Investment Portfolio Management Professional
I am a goal-oriented investment professional with a history of solid investment results in managing equity and fixed income portfolios. Skilled at decision-making within the framework of a disciplined investment process and establishing successful investment strategies. Energetic team player with exceptional ability to motivate team members to excellence. Demonstrated ability to work independently within a corporate stru...
Ideal Companies: AON Hewitt, Atlanta Capital Investment Managers, BB&T Wealth Management, Brinker Capital Management, Bryn Mawr Trust, Callan Associates Inc., Federated Investments, Fidelity, First Citizens Bank of NC, Hancock Bank, Invesco, Lowry Hill Capital Management, Piedmont Investors, PNC Wealth Management, Regions Bank, Ronald Blue and Co, RW Baird, Sageworth Investment Advisors, Sterling Capital Management, SunTrust, Susquehanna Wealth Management, Synovus, T. Rowe Price, UMB Bancshares, Vanguard, Willis Investment Counsel, Wilmington Trust Investment Advisors
Tags for this Online Resume:
Chief Investment Officer, Portfolio manager, problem solving, leadership, compliance officer, equity, fixed income, Team Building, strategy development, Relationship Management, Business development
Chief Compliance Officer, Privacy Officer, Anti-Money Laundry Officer
I am the Chief Compliance Officer, Anti-Money Laundry Officer, and Privacy Officer with a number of years in securities brokerage/investment advisory and insurance compliance. I oversee the brokerage, investment advisory and insurance areas; however, I am seeking out new opportunities. I hold a number of FINRA designations (Series 7,24,53,63,66), am a licensed insurance producer in Illinois, and am a Certified Regulator...
Controller/Asst. Controller/Acctg. Manager-Supervisor - 15+ years experience
Experience new challenges, develop and enhance existing expertise, while training/developing others grow and succeed together with the Company's growth and success.
Tags for this Online Resume:
SEC/FINRA Rules compliance, FINRA 15c3-1 & 15c3-s FOCUS Reports, Multi-Entity ME/YE Financial Reports/Cash Management, Benefits/Payroll Administration and Staff Development, Proficient with Microsoft Word/Excel, QuickBooks, ACCPAC, Sun System and Champion Acctg. Softwares
Featured Profile
Registered Administrative Assistant/Office Manager
Registered Administrative Assistant/Office Manager
Tags for this Online Resume:
series 6, series 63, life/health license, registered, finra
Brokerage Services, New York, NY
Over 12 years combined experience in Client Services, Brokerage, insurance, and Mutual Fund Back Office Operations. I am looking to target a position back into Brokerage Operations, or as a Trader’s Assistant. My goal is to utilize my FINRA Series 7 and 55 licenses.
Tags for this Online Resume:
Brokerage, Back Office Operations, Business Analyst, Order Entry - Trader Assistant, Trade Surveillance , Fund Performance
Financial Analyst
I hope to continue growing my experience in the financial services industry for the next few years before testing for certain FINRA and Global Professional certifications. Thereafter, I wish to complement my academic achievements with a business school graduate degree.
Tags for this Online Resume:
Microsoft Excel, Microsoft PowerPoint, Financial Analyst, Banking, Bloomberg Terminal, German, Hindi
Featured Profile
Wealth Management and Investment Portfolio Management Professional
I am a goal-oriented investment professional with a history of solid investment results in managing equity and fixed income portfolios. Skilled at decision-making within the framework of a disciplined investment process and establishing successful investment strategies. Energetic team player with exceptional ability to motivate team members to excellence. Demonstrated ability to work independently within a corporate stru...
Ideal Companies: AON Hewitt, Atlanta Capital Investment Managers, BB&T Wealth Management, Brinker Capital Management, Bryn Mawr Trust, Callan Associates Inc., Federated Investments, Fidelity, First Citizens Bank of NC, Hancock Bank, Invesco, Lowry Hill Capital Management, Piedmont Investors, PNC Wealth Management, Regions Bank, Ronald Blue and Co, RW Baird, Sageworth Investment Advisors, Sterling Capital Management, SunTrust, Susquehanna Wealth Management, Synovus, T. Rowe Price, UMB Bancshares, Vanguard, Willis Investment Counsel, Wilmington Trust Investment Advisors
Tags for this Online Resume:
Chief Investment Officer, Portfolio manager, problem solving, leadership, compliance officer, equity, fixed income, Team Building, strategy development, Relationship Management, Business development
Chief Compliance Officer, Privacy Officer, Anti-Money Laundry Officer
I am the Chief Compliance Officer, Anti-Money Laundry Officer, and Privacy Officer with a number of years in securities brokerage/investment advisory and insurance compliance. I oversee the brokerage, investment advisory and insurance areas; however, I am seeking out new opportunities. I hold a number of FINRA designations (Series 7,24,53,63,66), am a licensed insurance producer in Illinois, and am a Certified Regulator...
Registered Administrative Assistant/Office Manager
Registered Administrative Assistant/Office Manager
Tags for this Online Resume:
series 6, series 63, life/health license, registered, finra
Brokerage Services, New York, NY
Over 12 years combined experience in Client Services, Brokerage, insurance, and Mutual Fund Back Office Operations. I am looking to target a position back into Brokerage Operations, or as a Trader’s Assistant. My goal is to utilize my FINRA Series 7 and 55 licenses.
Tags for this Online Resume:
Brokerage, Back Office Operations, Business Analyst, Order Entry - Trader Assistant, Trade Surveillance , Fund Performance
Financial Analyst
I hope to continue growing my experience in the financial services industry for the next few years before testing for certain FINRA and Global Professional certifications. Thereafter, I wish to complement my academic achievements with a business school graduate degree.
Tags for this Online Resume:
Microsoft Excel, Microsoft PowerPoint, Financial Analyst, Banking, Bloomberg Terminal, German, Hindi
Featured Profile
Wealth Management and Investment Portfolio Management Professional
I am a goal-oriented investment professional with a history of solid investment results in managing equity and fixed income portfolios. Skilled at decision-making within the framework of a disciplined investment process and establishing successful investment strategies. Energetic team player with exceptional ability to motivate team members to excellence. Demonstrated ability to work independently within a corporate stru...
Ideal Companies: AON Hewitt, Atlanta Capital Investment Managers, BB&T Wealth Management, Brinker Capital Management, Bryn Mawr Trust, Callan Associates Inc., Federated Investments, Fidelity, First Citizens Bank of NC, Hancock Bank, Invesco, Lowry Hill Capital Management, Piedmont Investors, PNC Wealth Management, Regions Bank, Ronald Blue and Co, RW Baird, Sageworth Investment Advisors, Sterling Capital Management, SunTrust, Susquehanna Wealth Management, Synovus, T. Rowe Price, UMB Bancshares, Vanguard, Willis Investment Counsel, Wilmington Trust Investment Advisors
Tags for this Online Resume:
Chief Investment Officer, Portfolio manager, problem solving, leadership, compliance officer, equity, fixed income, Team Building, strategy development, Relationship Management, Business development
Chief Compliance Officer, Privacy Officer, Anti-Money Laundry Officer
I am the Chief Compliance Officer, Anti-Money Laundry Officer, and Privacy Officer with a number of years in securities brokerage/investment advisory and insurance compliance. I oversee the brokerage, investment advisory and insurance areas; however, I am seeking out new opportunities. I hold a number of FINRA designations (Series 7,24,53,63,66), am a licensed insurance producer in Illinois, and am a Certified Regulator...
Wealth Management and Investment Portfolio Management Professional
I am a goal-oriented investment professional with a history of solid investment results in managing equity and fixed income portfolios. Skilled at decision-making within the framework of a disciplined investment process and establishing successful investment strategies. Energetic team player with exceptional ability to motivate team members to excellence. Demonstrated ability to work independently within a corporate stru...
Ideal Companies: AON Hewitt, Atlanta Capital Investment Managers, BB&T Wealth Management, Brinker Capital Management, Bryn Mawr Trust, Callan Associates Inc., Federated Investments, Fidelity, First Citizens Bank of NC, Hancock Bank, Invesco, Lowry Hill Capital Management, Piedmont Investors, PNC Wealth Management, Regions Bank, Ronald Blue and Co, RW Baird, Sageworth Investment Advisors, Sterling Capital Management, SunTrust, Susquehanna Wealth Management, Synovus, T. Rowe Price, UMB Bancshares, Vanguard, Willis Investment Counsel, Wilmington Trust Investment Advisors
Tags for this Online Resume: Chief Investment Officer, Portfolio manager, problem solving, leadership, compliance officer, equity, fixed income, Team Building, strategy development, Relationship Management, Business development
