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Online Resumes with "Regulatory Exams"



Experienced and Aggressive Sales Manager

Results-driven sales professional, with over 10 years experience in sales and sales management. Personal sales of over $5 million selling a big ticket intangible item over the phone. Developed long term client relationships. Managed sales floor of up to 20 people and met sales quotas of over $1 million per month. Developed recruiting and training programs that introduced over 60 new salespeople into the business. Develop...

Ideal Companies: My objective is to use my proven talents as a Sales Trainer and a Motivator to help small to medium companies to revitalize their sales force and to increase their market share and market penetration.

Tags for this Online Resume: Sales, Sales Management, Sales Trainer, Recruiting, Training, President, CEO

Energetic, self-motivated Business Manager with new MBA looking for opportunity to build new skills

For the past few years, I have been managing an internal control program in the financial services industry, but have been searching for an opportunity to get into the science, technology or health care arena, where I can utilize my business administration and management skills. I just graduated from Loyola College in Maryland with an MBA in Management, and am excited to put to work the education I have gained over the las...

Tags for this Online Resume: Control, Compliance, Management, MBA, Marketing, Strategic, Improvement, Operations, Service, Customer Service

Accomplished legal & compliance executive for registered investment advisory firms

Accomplished legal and regulatory executive with experience designing, implementing and maintaining US and Global compliance programs for equities investment advisory firms, managing global compliance teams, managing SEC regulatory exams, registering firms and private funds with various international jurisdictions, managing the acquisition and integration of other investment advisory firms, negotiating corporate agreements,...

Compliance Officer, Omaha|Compliance Exams, Problem Solving, Regulatory Exam Liaison| Series 24 Principal

I'm a seasoned compliance professional with both broker-dealer and investment advisor experience. I'm seeking a compliance position that will allow me to use my problem solving and organizational skills and regulatory knowledge. I'm interested in a broker-dealer or registered investment advisor that is looking for a manager who has experience with the development, planning and execution of branch office exams and facilitat...

Tags for this Online Resume: compliance, Omaha, series 24, examinations, principal, securities

Featured Profile

Executive Vice President - 20 Years of Experience - Near 80403

SUCCESSFUL FINANCIAL SERVICES EXECUTIVE INSTITUTIONAL ASSET MANAGEMENT | CORPORATE TRUST | PRIVATE WEALTH MANAGEMENT Senior-level leadership-oriented financial professional with a history of implementing forward-thinking change within organizations, continually maximizing resources, increasing efficiencies, and adding profitability to the bottom line. Ability to recognize potential solutions, formulating business plans and...

Tags for this Online Resume: Denver, California, Results Oriented, Decision Maker, Successful, Innovative, Financial Services

Featured Profile

Senior Vice President/ Executive with over 15 Years of Experience

Assist companies with implementing successful solutions within budget while leveraging a risk mitigation approach to improve the business posture and achieve their strategic vision.

Ideal Companies: Mid-size to large companies; Astra Zeneca, IBM, CSC, SAE, FED, SEC, Government, SAIC, Banking: PNC, Wilmington Trust, Citi, BofA, Chase, DuPont.

Tags for this Online Resume: Enterprise Risk Management, Global Risk Management, Risk and Control Assessment, RCSA, Quality Reviews, Vendor Management, Chief Information Officer, Chief Security Officer, Executive Vice President, Managing Director, Chief Operations Officer, Chief Technology Officer, Senior Vice President, Big Data Governance, Governance and Oversight, Regulatory Audit Engagement

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

Auditor

Summary A senior Legal and Compliance executive with over 20 years of extensive proven troubleshooting experience on legal, regulatory, enforcement and compliance issues within the brokerage and clearing house industry. Candidate possesses a wide in-depth knowledge of major brokerage products and is proficient at all levels of corporate, client and regulatory communications. As a leader in legal and compliance issues, an ex...

Tags for this Online Resume: Compliance, Policies and Procedures, Regulatory Reporting, Distribution, Equity, Forecasting, High Net Worth, Legal, Private Equity, Retail, Auditor, Business Continuity, Operations