CV, Curriculum Vitae and Online Resumes Search

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Online Resumes with "Investment Adviser Act"

Compliance Analyst

Seeking a senior level compliance role in a financial services firm.

Tags for this Online Resume: Investment Adviser Act, Investment Company Act, Regulatory, Code of Ethics

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

Chief Financial Officer - 20 Years of Experience - Near 07648

PROFILE Seasoned executive with significant financial management, operational and administrative experience strong analytical and technical abilities, a proven record of accomplishment in achieving organizational efficiency, and superior written and oral communication skills. Extensive experience in SEC reporting ('33 Act and '34 Act), Investment Company Act of 1940 and Investment Advisers Act of 1940, Sarbanes-Oxley Act im...

Tags for this Online Resume: Financial, Financial Reporting, Financial Services, Services, Accounting, External Reporting, Planning, Tax Planning, Statutory, Business Development

Lawyer - 20 Years of Experience - Near 10075

CAREER SUMMARY Corporate lawyer with in depth experience and expertise in securities, private, hedge and capital funds, Investment Company and Investment Advisers Acts, mergers and acquisitions and general corporate transactions. Served as outside general counsel to companies in industries including high-technology, alternative energy, packaging and jewelry. Clients included public corporations private equity funds biotech ...

Tags for this Online Resume: Banking Industry, BAR, BDC, Distribution, Drafting, Equity, ERISA, Acquisitions, Business Development, Corporate General