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Online Resumes with "Investment Company 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
Experienced Corporate Counsel
Seeking in-house or senior corporate position to best draw on my experience in the intersecting areas of structured finance transactions and business restructurings, as well as my vast experience in general corporate and regulatory matters.
Ideal Companies: JP Morgan Chase, Bank of America, CitiBank, HSBC, Barclays, Wells Fargo, various hedge funds and insurance companies
Tags for this Online Resume: Corporate Lawyer, Transactional Lawyer, Senior Counsel, Restructuring Lawyer, Structured Finance Attorney, Derivative Lawyer, Securities Lawyer
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 - 17 Years of Experience - Near 18036
SUMMARY Seasoned transactional attorney with 17+ years' of achievements in commercial transaction legal document production and term negotiation globally dealing with procurement of products and services with an emphasis on financial, regulatory and information technology needs. Customer service driven with reputation for ethical conduct and integrity. Knowledgeable on applicability of Dodd-Frank, ERISA, FINRA, Investment A...
Tags for this Online Resume: Services, Audit, Human Resources, Management, Quality, Quality Assurance, Quality Management, Security, Financial, negotiation, procurement, government relations,risk management
Financial Analyst
Ideal Companies: JP Morgan, Morgan Stanley, Bank of America, Facebook
Tags for this Online Resume: Financial, Research, Compliance, Data Entry, Drafting, Equity, Management, Microsoft Office, System Testing, Test
