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Online Resumes with "FINRA "
Retail Investment Branch manager- Highly Licensed- 10 Years Experience
I'm a Financial Professional with 10 years experience in the Retail Investment Industry. I have extensive experience with Securities regulation, compliance ,and supervision. As well as Investment Operations and Financial Customer service dealing with both Financial Advisers and Clients. I hold FINRA Series 7, 63, 24,4, 9 & 10. I also Hold Insurance Life , Health, and Casualty Certifications.
Ideal Companies: Charles Schwab, Morgan Stanley, AIG, Goldman Sachs, Edward Jones, JP Morgan Chase, BOA/Merrill Lynch, Ect.
Tags for this Online Resume: Operations Manager, Branch Manager, Series 7, Series 24, Compliance, Supervisor, Series 4, Series 63, Series 9, Investment Operations
Experienced financial advisor and trust and estates attorney
I am seeking a position that will allow me to fully utilize my legal and financial background and training in an executive or management capacity to make a positive contribution to my employer's bottom line success.
Ideal Companies: PNC Bank, Regions Bank, Cummins, Nike
Tags for this Online Resume: Attorney, Trustee, Financial Planner, Estate Planning, Trust Administration, Porftolio design and administration, Microsoft Word Excel Power Point Proficient, Public Speaking, Sales and Marketing, Legal Research and Reasoning, Numerical and Financial Analysis, Negotiation, JD, MBA, CFP Training, FINRA Series 7, FINRA Series 63, Series 65
Financial Advisor
Investment advisor/bank branch manager with more than 20 years of experience planning, developing and implementing financial solutions for clients. An accomplished financial advisor with a bachelor degree in economics and a broad-based diverse background in financial industry products.
Ideal Companies: Financial institutions are my background but I am willing to work in management at any industrial, manufacturing, energy or any large corporations. I am really interested in a geographical area more than a certain company to work for.
Tags for this Online Resume: Sales, Management, Financial products, Investment Licenses, Risk Management, Financial Solutions, Investment Advisor, Compliance, Analysis, Florida, North Carolina, South Carolina, Business, Economics, Finance
Compliance Officer
I am an ambitious and accomplished professional with extensive, financial experience. I am seeking a financial compliance position with a company that can utilize my unique combination of skills and experience in the compliance area of the financial industry. I have current FINRA licenses Series 7 and 24 as well as 10+ years’ experience performing the duties of a compliance officer and account manager.
Tags for this Online Resume: series 24, series 7, compliance
Compliance Supervisor
Pacific Pearl Group - West Palm Beach FL Chief Compliance Officer - 2012,2013 Self Employed - Trader November 2011 - August 2012 Traded equities and execute various options strategies utilizing research and stock market trends to self sustain my income Kane Reid Securities dba TradeKing, Fort Lauderdale, Florida February 2007- January 2011 Supervisor of Compliance and Customer Identification Responsible for the superv...
Operations/Personnel Management - 13 years Experience - New York, NY
Over 13 years of successful Operational, Security, Human Resources and Logistics Management experience from Company thru Brigade levels within the United States Army. Extensive knowledge of Government Contracting, IT Management, Project Management, as well as overall unit level training. Over 8 years experience within the Accounts Payable and Financial Services industry with extensive knowledge of forecasting, budgeting ana...
Tags for this Online Resume: operations management, top secret clearance, Captain, supervise/manage personnel, FINRA license, contract specialists
Business Analysis Associate
I am an experienced professional with 15 years in the insurance business. Expertise in Compliance, FINRA, reviewing and wringing Standard Operating Procedures, document retention, as well Executive Assistant responsibilities.
Tags for this Online Resume: critical thinker, problem solver, team player, administrative, office , financial
Compliance Examiner
. I have worked for my current company, LPL Financial, for over 7 years. I previously worked in two home office locations - San Diego and Charlotte. Currently I work remotely for the company in Chicago and am hoping to find a new organization that offers a dynamic work environment and sterling reputation. As my attached resume shows, I have a proven track record of advancement in service, operations, and compliance. I am Se...
Tags for this Online Resume: Compliance, Service, FINRA, SEC, Licensed, Management
Compliance Officer
I am a Compliance Officer with 20+ years in the financial services industry, working with large and small firms, supervising both employee and independent advisors. I have experience with FINRA and SEC regulations related to fee-based and commission based investment activity, training, financial planning, and reporting and analysis.
Tags for this Online Resume: Compliance, Securities
Retirement Plan Professional with 20 years experience in the Financial Services Industry
Tags for this Online Resume: Retirement Plans, Relationship Manager, Account Reconciliation(s), FINRA (6 & 63), ASPPA (RPF #1 & #2), CA Life & Health
Customer Service - 20 years Experience - Greater San Francisco
Karen Sanders Steffy Danville, CA 925-586-0999 Overview Whiz at marketing and executing every event to perfection. I easily adapt to change and manage multiple tasks simultaneously. Detail oriented person proficient at utilizing internal and external resources to complete any project with optimum results. ...
Insurance Industry Professional - Sales & Marketing
Highly organized salesperson transitioning from a technical background. Extremely dedicated to prospecting new clients. Strong oral presentation skills and known for communicating with customers on their level. Team player who creates long-lasting relationships with key decision makers, customers, and colleagues. Customer loyalty focused. Ability to work well under pressure and solve problems utilizing an analytical ab...
Ideal Companies: Hewlett Packard, IBM, Bloomberg, Thomson One, Bank of America Securities
Tags for this Online Resume: Technical Sales, Northern California, VOIP, VOIP Sales, Consulting, IT for investment Banks, Active Directory, MS Exchange, Insurance, Systems Engineer
