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Online Resumes with "Principal Examiner"
Regulatory Examiner-11 years experience
As a Principal Examiner with FINRA for nearly 11 years, I have developed my knowledge and skills in an ever changing financial world that could be an asset for your firm. My major responsibilities include leading a field examination team conducting regulatory examinations of FINRA member firms and monitoring the stability, accountability, and supervisory structure of FINRA member firms to ensure compliance with NASD, MSRB,...
Compliance Officer - 20 Years of Experience - Near 33414
Profile: Experience in comprehensive, multimillion dollar accounting/controllership disciplines( MBA in Accounting, BS in Computer Science, Passed CPA exam( A faculty for thorough financial analysis( Strong competence in financial problem-solving( Highly effective skills in organizing and communicating( Well developed computer proficiency and interpersonal skills. Principal Examiner / FINRA/New York Stock Exchange Inc. (10/...
Tags for this Online Resume: Accounting, Accounting Functions, Accounts Payable/Receivable, CFO, Financial, Financials, Management, P&L, Payroll, Payroll Taxes, Accounting, Compliance
Gaming Cage Worker - 1 Years of Experience - Near 10281
To effectively utilize my regulatory experience with a firm committed to: excellence, the highest industry standards and a cul-ture of compliance.
Tags for this Online Resume:
Security, Buying, Collection, Collection Procedures, Customer Accounts, Securities, Audit, Corrective Actions, Management, Appraisals
Featured Profile
Financial Specialist - 16 Years of Experience. Series 7/63, 65 & 9/10 Brokerage Licenses
To obtain an Associate Principal Examiner position and conduct risk-based examinations of FINRA member firms and registered representatives. Key Strengths Strong knowledge of FINRA rules, and Federal Bank regulations. Motivated leader with strong organizational and prioritization abilities. Areas of expertise include AML/BSA reporting, Patriot Act.
Ideal Companies: FINRA
Tags for this Online Resume:
Account Management, ACH, Audit, Banking Industry, HVAC, Management, Microsoft, Microsoft Office, Project Management, Quality Assurance
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Tags for this Online Resume:
Buying, Collection, Collection Procedures, Customer Accounts, Securities, Security, Audit, Corrective Actions, Management, Appraisals
Financial Specialist - 16 Years of Experience. Series 7/63, 65 & 9/10 Brokerage Licenses
To obtain an Associate Principal Examiner position and conduct risk-based examinations of FINRA member firms and registered representatives. Key Strengths Strong knowledge of FINRA rules, and Federal Bank regulations. Motivated leader with strong organizational and prioritization abilities. Areas of expertise include AML/BSA reporting, Patriot Act.
Ideal Companies: FINRA
Tags for this Online Resume: Account Management, ACH, Audit, Banking Industry, HVAC, Management, Microsoft, Microsoft Office, Project Management, Quality Assurance
