Health & Welfare Employee Benefits Managing Consultant. Selling employee benefits to Level B and C organizations.
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ChFC, NASD FINRA Licensed, CEBS
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clearing, securities, series 24, loyalty, finra, manager, clearing DTC DWAC, securities operations, series 24 series 7, relationship management, finra OFAC FinCen, manager associate
Seeking a position that will allow me to use my vast knowledge of securities compliance rules and regulations to ensure adherence to regulatory authorities.
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compliance, management, audit, FINRA, securities, inspections
Provide a Leadership Role to take the Financial Planning Organization to next level. Under my leadership, the financial planning firm would follow all the regulations of state and FINRA with complete integrity and honesty.
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Leadership, Performance, Goals, Return on Equity
Candidate is a talented, ambitious, and highly productive person with supervisory and management experience. Possesses strong interpersonal skills and the ability to deal effectively with a wide range of people. Adept at creating a workplace rapport that builds trust, confidence, and a high degree of comfort. Characterized as energetic, self motivated, loyal, conscientious and self-confident with an outgoing personality ...
Ideal Companies: manufacturing
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Human Resources, Medical Coder
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Mortgage Banking, Loan Officer, Loan Consultant, Investment Advisor, FINRA, Trader
I am an ambitious professional with expertise in Brokerage Operations, Capital Markets, Treasury Management and Investment Sales. Proven ability to support and communicate with all levels of management, sales personnel, administration, internal and external auditors and industry regulators like FINRA and the OCC.
My experience is my goal to be able to pass along knowledge that I know to the new members in this industry.
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Margin specialist, Prime brokerage expert, Regulation T expert, Finra expert, 29.5 years experience, equity,domestic and international
Senior level position to build upon my specialized and intensive institutional investment management experience from Bank of New York Mellon and Rockwell International Corporation, and Operational Risk Management experience at KeyCorp. Extensive experience in complex defined benefit and defined contribution retirement plan investment management, risk management, financial analysis and accounting, capital markets, complianc...
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ARCHER, GRC, MPT, VAR, Investments, Investment, Risk, Compliance, Wealth, Portfolio, Fiduciary
A career where my sales skills and background can thrive. Income potential to provide for my family and I, as well as travel and enjoy our lives.
