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Online Resumes with "Supervisory Procedures"
Compliance Manager 18 years Financial Services Industry experience in the area of compliance
Self-directed, technology-savvy financial services management professional with broad experience in branch operations, compliance, and technology. Deep knowledge of institutional/retail equity trade desk compliance, control room, and research compliance. Well versed in risk management standards, policies, procedures, plans, and controls consistent with governing regulations. Skilled in creating Written Supervisory Procedure...
Tags for this Online Resume: Compliance Analyst, Financial Services, Investment Banking, Broker Dealer, AML Compliance, Branch-Level Regulatory Audits
Accountant
SUMMARY OF QUALIFICATIONS ROCS Consulting Managing Director, 2000 - Present Proprietor of an Independent Consulting practice. The firm specializes in Regulatory, Compliance and Operational consulting for the securities and banking industry. ROCS Consulting provides assistance to Broker Dealers, Registered Investment Advisors, Banks, Trust Companies, Insurance Companies, Investment Companies, Bank Securities Dealers and Tran...
Tags for this Online Resume: Accounting, Back Office, Banking Industry, Capital markets, Complaints, Consulting, Derivatives, Equity, Financial, Financial Reporting
SENIOR COMPLIANCE OFFICER
Proven multidisciplinary compliance officer with senior level experience with financial leaders including Deutsche Bank, Merrill Lynch, Nomura, Credit Suisse, AIG and Brown Brothers Harriman. Demonstrated career track record developing strategic roadmaps to ensure SEC, FINRA and GIPS compliance. Skilled at detailed Fortune 500 compliance analysis and accurate asset performance investment reporting. Strong expertise in multi...
Ideal Companies: none
Tags for this Online Resume: GIPS, FINRA, SEC, Policies and Procedures, Compliance, Investment Reporting, Strategic Planning, Personal Trading, Surveillance, Internal Controls, Process Improvements
