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Were you looking for Investment-Adviser-Regulation job results?
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Online Resumes with "Investment Adviser Regulation"
Lawyer
Areas of Expertise Broker - Dealer Regulation * Investment Adviser Regulation* Credit Rating Regulation Risk Management * Policy Development * Regulatory Exams * Team Leadership Strategic Planning * Cross-Functional Leadership * Compliance
Tags for this Online Resume: Broker-Dealer Regulation, Investment Adviser Regulation, Credit Rating Regulation, Compliance, Regulatory, Legal, Leadership, Outsourcing
Chief Financial Officer - 20 Years of Experience - Near 10536
Profile: Seasoned Financial Services SVP executive with CFO, Compliance (CCO) and Personnel-HR/Administration Managerial roles. Active SEC Broker-Dealer Registrations (Wynston Hill Capital, LLC - part-time), and Registered Investment Adviser history Director/CFO/Controller Executive Highlights - 40+ years, including 15 years with one Financial Services organization, responsible IN three core disciplines: Financial Accountin...
Tags for this Online Resume: CFO, Financial, Financial Services, Services, Accounting, Balance, Balance Sheet, Business Plan, Cost Accounting, Financial Reporting
