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Online Resumes with "Investment Advisors"

Compliance Officer - 20 Years of Experience - Near 19137

To be the CHIEF COMPLIANCE OFFICER(or at least a senior level Legal or Compliance Officer)of a SECURITIES BROKER DEALOR, investment advisor, investment company/mutual fund

Tags for this Online Resume: Securities Industry, attorney, compliance professionalionalchief AML Officer, chief compliance officer IND.Broker-Dealer, Investment Adviser, Compliance, Financial, Financial Statement, Financial Statements, Fixed Income, Fraud, Management, Philadelphia, PA, Equities, Council, Financial Services, Banks

Chief Financial Officer - 13 Years of Experience - Near 07452

AREAS OF EXPERTISE * * Brokerage Operations * Registered Investment Advisors - Asset Management and Wealth Advisors * Taxation * Regulatory Reporting: FINRA, SEC, NFA & CFTC * Internal Controls * Hedge Funds

Tags for this Online Resume: Accounting, Financial, Management, Asset Management, Capital markets, Cash Flow, Forecasting, Internal Controls, P&L, High Net Worth

Director - 20 Years of Experience - Near 55129

SUMMARY * 14 years of experience as a Financial Advisor and 9 years of Management experience. * Leader and Change Agent, particularly in the Financial Services Industry. * Successful Revenue Builder who can move the needle and grow a profitable business from the ground up. * Profoundly increased advisory assets at last employer from $750 million AUM (Assets under Management) to $3.4 billion AUM. As such top-line revenue gre...

Tags for this Online Resume: Management, Sales, Financial, Financial Services, Services, Training, Recruiting, RIA, SEC, Securities and Exchange Commission (SEC)

Financial Manager, Branch or Department - 15 Years of Experience - Near 91205

Summary: Experienced: Manager Compliance Supervision Recruiter Team Leader Trainer Investment Advisor Financial Planning Office Inspection Approved Applications Experienced in handling Customer Complaints Customer Service Good Communication skills Have conducted annual reviews for Registered Representatives Trained Financial Planning advisors in Compliance and Sales. Train Advisors on how to work with money managers, and we...

Tags for this Online Resume: Complaints, Compliance, Customer Service, Recruiter, Reviews, Training, Sales, Applications, Asset Management, Benefit Plans

Financial Manager, Branch or Department - 5 Years of Experience - Near 85383

CAREER SUMMARY Financial reporting professional with extensive experience and leadership skills in publishing, consumer goods, distribution, manufacturing, and non-profit. Adept at assimilating complex issues to expedite decision-making with a direct and practical approach to solving problems through people. Enthusiastic toward new approaches to revenue generation and process improvements. Responsible for attaining P&L and ...

Tags for this Online Resume: Director of or Accounting Manager, Cash Flow, Financial, Financial Reporting, Publishing Consumer Goods Not-for-Profit, Analysis, Forecasting, Leadership, Concur Expense, C Programming Language

Financial Manager, Branch or Department - 9 Years of Experience - Near 60510

were based on cross sell, checking accounts, loans, investments, and balances * Promoted to Chase at Work Specialist * Cold Calling large businesses to entrust Chase to become a banking partner for the company and its employee * Opened 10 - 15 new relationships per month * $200k per month in debt * 5 new credit lines * $100k in new assets/balances * 5 referrals to Business or Investment Advisors * Responsible for training/m...

Tags for this Online Resume: Management, Securities, Book of business, Networking, Referrals, Sales, Inventory, Inventory management, Applications, Business Analysis

Controller

SUMMARY: Entrepreneur with over 30 years of experience in the financial services industry. Certified Public Accountant, Resident Insurance Producer and Investment Advisor Representative in the State of Pennsylvania. Experienced with consolidating spreadsheets and models, with some SEC reporting. * Business development officer, technology advisor and tax research consultant. * Assist clients with bank financing and financial...

Tags for this Online Resume: Wealth Management, Accounting, APEX, Financial, Financial Services, Insurance, Management, Risk Management, Services, Audit

Insurance Sales Manager

Summary With over 35 years of experience in financial services, Ed Vrablik is well versed in helping business owners, families and individuals reach their financial goals. As a Partner at New York Life, Ed recruits, trains, mentors and coaches advisors to help them develop and build their financial services careers. In 2016, Ed qualified for Executive Council Membership at New York Life. Members of the Executive Council are...

Tags for this Online Resume: Insurance, Financial, Planning, Financial Services, Services, Certified Financial Planner, CFP, Coaching, Information Technology, Leadership

Financial Manager

ACCOMPLISHMENTS Shortly after graduating from college I accepted a Management Training position with Manufacturers Hanover Trust Company involving personal trust and custodial services administration and was promoted through a series of increasing responsibilities to the position of Trust Officer in 1984 and held that position until December 1986. I made significant contributions in new business development, new clients, as...

Tags for this Online Resume: A SERIES, Alternative Investments, Analytical Skills, Asset Growth, Asset Management, Banking Industry, Banking Operations, Banking or Financial, Business Development, Communication Skills

Compliance Manager - 11 Years of Experience - Near 78634

Summary Skilled Compliance Officer adept at compliance needs for a Broker Dealer, Investment Advisor and Mutual Fund.

Tags for this Online Resume: Back Office, Billing, Compliance, Financial, Account Reconciliation, Accounts Payable, Accounts Receivable, Microsoft Office, Software

Organizational Development Specialist - 10 Years of Experience - Near 90046

Accomplishments Charles Schwab Inc. By truly partnering with stakeholders we accomplished a complete change in corporate culture and re-tooled their national sales force and support staff. With this initiative Schwab was finally able to achieve the #1 position in customer service (JD Powers), increase sales 27% + each year, increase employee engagement by 32%+. By aligning the new hire on-boarding program with corporate ini...

Tags for this Online Resume: Customer Service, Cyber Security, Diversity, Insurance, Integrate, Leadership, Training, Development, Learning and development, Sales Training, Chief people officer