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Online Resumes with "Surveillance Compliance"



Ambitious Innovator

Once given the opportunity to understand the business, if allowed can be a positive force within the company to increase efficiency, profits, focus. An increased performance within the company itself.

Ideal Companies: None Specified

Tags for this Online Resume: Administrative Assistant

Complianne Vice President with many yars supervising a staff in excess of 110 members. In addittion a thorough knowledge of the Securities Markets.

My career objectives are to bring my leadership skills to a firm that needs someone with my Skill Set , Knowledge and Experience in the Trading, Surveillance, and Compliance of Equities, Options and Exchange Traded Funds.

Compliance Officer - 19 Years of Experience - Near 11561

SUMMARY Chief AML Officer for global investment firms, evaluating transaction monitoring processes and procedures from a both proactive and lookback perspective and preparing remediation plans to address any gaps. Prepared investigative files utilizing and drafted SARs as needed. Developed complete proprietary IT compliance test-script module to facilitate clear and accurate surveillance and analysis of counterparty risk. G...

Tags for this Online Resume: Outsourcing, Compliance, Monitoring, SEC, Securities and Exchange Commission (SEC), Training, Management, Equity, High Net Worth, Policies and Procedures

Budget Analyst - 13 Years of Experience - Near 96555

Tags for this Online Resume: Earned Value Management SME, Cost Analysis, Project Controls Lead, Huntsville, Alabama, Estimating, Project Managment, Control Account Manger Training, Planning, DCMA, System Description, Texas, ANSI / EIA 748 Guidelines, Washington, Oregon, Surveillance Compliance, Integrated Baseline Reviews, Defense Federal Acquisition Regulation (DFAR) 252.234.-7001, Defense Federal Acquisition Regulation (DFAR) 252.234.-7002, DI-MGMT-81861, Virginia, Florida

Financial Specialist - 20 Years of Experience - Near 07047

Summary of qualifications: Possess Knowledge of Fixed Income and Equity Securities. Compliance Marketing Materials Review/Approvals * Investment Company/Advisers Act 1940 Charles River and Sentinel Latent Zero rule library coding/surveillance. Spearhead the creation of new attributes for implementation. Proficient in rule construction/Bloomberg navigation. Extract restrictions from Prospectus/SAI's/KAGB German Regulations/C...

Tags for this Online Resume: Compliance, Fixed Income, Advertising, Asset Management, Audit, Bloomberg, KYC, finance, compliance legal/aml/bsa/kyc/advertising and marketing, Custody, compliance,AML/BSA/OFAC, advertising and marketing

Featured Profile

Marketing & Branding Specialist. Medical Laser Systems

Awarded Graphic Designer, Press and PrePress Specialist, Media and online marketing specialist, web developer and designer. Robotic Engineer - Computer Science. Medical and Scientific Laser Systems. Art and Marketing Director managing teams of over 15 different professions, including graphic designers, programmers, web and UI developers, sales representatives, printers. Best in: brand design, visual identity, package des...

Ideal Companies: candella, cynosure, deka, lumenis, medical devices, advertising companies, tech companies.

Auditor

Ideal Companies: Robinhood, Circle, Wells Fargo

Tags for this Online Resume: Audit, Business Requirements, CAT, Data Mapping, Enterprise Risk Management, Filing, Management, Outsourcing, Reviews, Risk Management