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Online Resumes with "Financial Services Compliance"
Liscensed Financial Services Compliance and Operations Professional
Motivated, dedicated, solutions-driven, and analytical financial services professional with 11 years’ combined experience in operations, compliance and sales, coupled with 3 years’ experience working in the National Financial Services’ clearing firm environment. Detail-oriented and organized with a strong customer service orientation. Effective in establishing and maintaining business relationships to ensure compliance and...
Ideal Companies: Citibank, Smith Barney, asset or investment management companies, insurance companies, mutual fund companies
Tags for this Online Resume: Compliance, Operations, NASD Regulations, Financial Services Professional, NASD, Mutual Funds, Annuities, Stocks, Bonds, Life Insurance, Writing Training Materials, Detail Oriented, Training, Effective Writing Skills
Financial Services Compliance Officer
Senior Compliance Officer
Tags for this Online Resume: Banking, Policies & Procedures, Marketing, Compliance, Regulations, Systems Improvement
Director of Financial Services and Compliance
Tags for this Online Resume: Director, Financial, Services, Compliance, Accreditation
Financial Services Compliance,Chicago
Financial Services Compliance Professional
I am a Financial Services Compliance professional with over 12 years of SEC examination experience; as well as, over four years of compliance experience for a large financial services company. I possess strong analytical, evaluation, research and communications skills. I have the ability to develop and communicate action plans for resolution of identified control gaps. I have in depth knowledge of Federal and Self Regulato...
Tags for this Online Resume: Compliance, Risk , Audit, Procedures and Control, Mutual Funds, Investment Adviser
Financial Services Compliance Associate
Compliance or legal Associate for Financial Services.
Financial Services/Compliance - Extensive experience-Securities licenses
Thank you for reviewing my attached resume which will provide you with a synopsis of my extensive experience in the Securities Industry. Most specifically in the Compliance area, but also in sales/operations, which I believe is an asset when working with registered representatives. As you will see I currently hold the following licenses: NASD Series 7, 24, 51, 63, 65 and LHVA. Feel free to contact me with further inquir...
Securities Financial Services Compliance Specialist
LORI KRAMER 17870 Co Rd 34 Norwood/Young America, MN Thank you for reviewing my attached resume which will provide you with a synopsis of my extensive experience in the Securities Industry. Most specifically in the Compliance area, but also in sales/audit & operations, which I believe is an asset when working with registered representatives. As you will see I currently hold the following licenses: NASD Series 7, 24, 51,...
Tags for this Online Resume: Financial Svs, Compliance, FS Auditing, FSvs licensed, Suitability Monitoring, Extensive FSvs knowledge, Former Sales exp, Complaint reviewer
Financial Services/Compliance Specialist-with 20+ years experience
Looking for a challenging career opportuinity in financial services.
Project Manager
Tags for this Online Resume: Agile, Agile methodology, Test, Test Cases, Acceptance Testing, Angular, Applications, Automation, Confluence, Documentation
