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Online Resumes with "broker dealer "



I am an experience compliance professional, currently hold series 6, 7, 24, 53, 63 & 65 licenses and California State Insurance license. I am driven to minimize risk for the firm and the client.

I am interested in a compliance position in a supervisory role for licensed brokers, as well as firm opperation personel with responsiblity for maintaining and updating regulatory procedures and ensuring said procedures are followed, to include working closely with upper level management in regard to current regulatory and compliance procedures.

Ideal Companies: Broker-Dealers

Tags for this Online Resume: Microsoft Office, FISERV, on-line trade review, Series 6, 7, 24, 53, 63, 65

brokerage,financial adviser-7 years experience

Tags for this Online Resume: broker-dealer, financial advisor

Leader - Sales and Ops Exp.

High energy, result driven sales leader. Exceptional communication skills with the ability to motivate teams to exceed desired results.

Ideal Companies: progressive and cutting edge company

Tags for this Online Resume: Vice President, Sales, Business Developement, Marketing, Account Management, VP, Sales Director, Director, VP of Sales

Sales Assistant, Orlando

Tags for this Online Resume: broker dealer operations, operations, securities

status quo not acceptable

Resourceful, creative, loyal exceptional interpersonal skills. client centric, continous improvement

Ideal Companies: Goldman Sachs, UBS, Lehman

senior P & S clerk reconcilation of trades back office

To clear trades for a hedge fund or broker dealer

Brokerage

As a License Series 7, 63, 24 & 25 I am seeking a job as a branch manager for a broker/dealer or in a compliance capacity.

Broker Dealer Compliance Attorney

Act as Chief Compliance Officer or Counsel/Attorney for broker/dealer or Investment advisor

CFO/Controller-20 years experience in Broker/Dealer Securities industry CPA

Active role with a progressive organization as a CFO/Controller , not limited to Securites Industry position.

Registered Representative - Securities Licensed and Life Licensed

Successful registered representative with over 20 years of presenting and closing cases with Registered Representatives in their various Broker-Dealers or FINRA firms. With proven ability to apply skills in building and managing relationships directly with a firm’s advisors and representatives to achieve client satisfaction and firm profit.

PRODUCT MANAGER | SALES | ACCOUNT MANAGER | CUSTOMER SERVICE

Financial executive with over 25 years of corporate leadership within the bank/broker-dealer industry. Instrumental in modernizing and creating new products through re-engineering, resulting in revenue improvements. Excellent at planning, motivating a team, problem-solving and decision-making. Adept at knowing the customer and creating the solution. With strong computer proficiency, have led several product developments and...

Experienced financial services professional seeks rewarding sales/sales management position

An opportunity within the Financial Services industry that is both challenging and rewarding and allows me to utilize my extensive experience. I prefer to join a secure company that will allow me to grow as a salesperson/manager and progress through the company based on my performance and accomplishments.

Ideal Companies: Fidelity, John Hancock, MFS, Hartford, Natixis

Tags for this Online Resume: Financial Sales, Sales Management, Mutual Fund, Variable Annuity, Wholesaling, Director, 401(k)