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Online Resumes with "broker dealer compliance"
Financial Investigator
Extensive broker/dealer compliance policy and procedures experience in financial regulation. Over 10 years regulatory experience in equity and debt markets during highs and lows of each market.
Tags for this Online Resume: Regulation, Compliance, Finance
Broker Dealer Compliance Attorney
Act as Chief Compliance Officer or Counsel/Attorney for broker/dealer or Investment advisor
Broker Dealer Compliance Consultant/Part Time FINOP/ CCO/ Supervisor/
To assist firms in maintaining compliance with all current rules and regulations.
Tags for this Online Resume: Compliance, CCO, FINOP, Operations Specialist, ROP, Trader
Broker Dealer compliance or operations managment
Manager
Tags for this Online Resume: Compliance, Corrective Actions, Management, Accounting, Fraud, Inventory, Risk Assessment, Securities, Assessments, Business Planning
