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Online Resumes with "finra"
Auditor
SUMMARY Task-oriented audit executive with broad experience in the financial services industry as well as real estate. Audit experience and strengths include Risk Management and Reporting, Commodities, FX, Emerging Markets, OTC Securities, Municipals, Real Estate, Derivatives, Mutual Funds, Treasury Activities, Regulatory Reporting, AML, Credit Lending, Regulatory and Financial Reporting and Sarbanes Oxley Compliance. Funct...
Tags for this Online Resume: Internal Audit, Compliance, Financial Services, SOX, Financial Statement, KYC, AM, Internal Control, PMO, Project Management
IT Manager - 18 Years of Experience - Near 28277
Career Summary Senior Technology Implementation Consultant, BW CYBER SERIVCES. January 2017 to present. Perform Cyber Security assessments, and technology implementations for agents and agencies affiliated with FINRA and/or the CTA. Additionally, provide infrastructure guidance as needed. Senior Consultant, Collabera, June 2016 to January 2017. Redesigned Virtual environments for internal systems. Developed Standard Operati...
Tags for this Online Resume: Application Development, Assessments, Consulting, Disaster Recovery, Distribution, Green Belt, Information Technology, Infrastructure, Logistics, Management, Infrastructure, IT Security, Change/Program/Project Management
Financial Engineering - 4 Years of Experience - Near 10021
SKILLS SUMMARY * Passed CFA Level 1 December 2015 exam, FINRA Series 7, Series 63, Series 5 and Series 57
Tags for this Online Resume: Equities, Fixed Income, Bloomberg, Investment Opportunities, Macro (Predefined Code), Risk Analysis, Structured Query Language, Universe, Arabic Language, C++ Programming Language
Sales Representative - 2 Years of Experience - Near 21085
Profile Successful saleswoman, financial advisor, and golf professional seeks to leverage her unique skill set and business development skills toward company success. Skills Summary Financial Advivsor and Associate Financial Advisor: Patricial Soto First Command Financial Services 16 Months total as Financial Advisor * 3 Months in Gateway Program * 13 Months as Associate Financial Advisor * Series 6, 63, 65, Life and Health...
Tags for this Online Resume: Financial, Advertising, Business Development, Clubs, Credit Card, Financial Services, Insurance, Networking, Oracle, Planning
Visionary Leader who Energizes the Enterprise's Performance through an entrepreneurial approach to all tasks.
Dynamic CFO and leader with more than 20 years of management experience in financially oriented roles. Demonstrated expertise in financial reporting, operations, risk management and compliance. In addition to CFO roles has held COO positions as well as Chief Compliance Officer. Known for hiring, training and developing efficient staff and strong management teams.
Ideal Companies: CME Group, Exelon, Federal Reserve Bank, MacArthur Foundation, Intercontinental Exchange, E*TRADE, Microsoft, MacArthur Foundation
Tags for this Online Resume: Finance, Risk, Compliance, GAAP, Strategy, Certified Public Accountant, Leadership, Management, Financial, Financial Management, Project Management, Policies and Procedures, Risk Management, Infrastructure
Financial Advisor - 15 Years of Experience - Near 10706
Obtain a position in the financial services industry or the wine and spirits industry. I am a successful sales professional with proven marketing skills. I thrive on high net worth and corporate client acquisition, sales, liaison services and business activities requiring the highest levels of excellence and integrity. Travel is not an issue. I currently possess the FINRA Licenses Series 63, 7, 65 and the NYS Life and Healt...
Tags for this Online Resume: Bonds, Financial, Mutual Funds, Planning, Customer Relationship Management, Prime, Derivatives, Private Client, Real Estate, Management, Wines and spirits
Insurance Sales Representative - 20 Years of Experience - Near 02904
Profile: Financial Services professional and Registered Representative with extensive experience in sales and customer relations. Have strong leadership abilities in meeting and exceeding sales goals and excellent customer service skills. While Developing and deepening relationships Santander Bank, East Providence, Rhode Island 2015 - Present Licensed Premier Client Manager * Responsible for the growth and development of an...
Tags for this Online Resume: Financial, Insurance, Planning, Sales, Customer Service, customer service skills, Financial Services, Internet, Intranet, Leadership, insurance, customer service, marketing, employee benefits, sales
Financial Specialist - 20 Years of Experience - Near 66210
Qualifications for Financial Management Highly motivated and hard-working sales professional with extensive experience in the financial arena including fixed income securities equity securities and investment portfolio management. Successful track record of implementing and delivering strategies that resulted in new market segments and increased revenue. Visionary with ability to project market needs increase sales and exte...
Tags for this Online Resume: Fixed Income, Management, Security, Forecast, Sales, Financial, Financial Management, Insurance, MBS, Planning, finance, TRADER
Manager - 17 Years of Experience - Near 08550
Experience Summary Over 15 years of technology experience in the financial industry with experience in managing global cross functional technology teams, building new high performance agile teams, creating technology strategy, innovating and collaborating with business to build creative solutions. Comprehensive business and technical background across multiple domains from front to back office including, Regulatory Reportin...
Tags for this Online Resume: Management, Program Management, Data Quality, Futures, Quality, Quality Assurance, Derivatives, Legacy, Microsoft, Risk Management, sql, java, it jobs, agile, software, javascript, Equities, Financial, Capital, Regulatory, MIFID, LOPR, FINRA, SEC, 13G, services, big data, elastic search, database, DB2, Sybase IQ
Accountant - 5 Years of Experience - Near 20147
SUMMARY Highly accomplished Accounting Specialist and CPA with expertise in accounting, financial reporting, financial operations for governmental contracting, and SEC and FINRA rules and regulations Email:, CPA, CGMA (continued) NelliLevin@hotmail.com
Tags for this Online Resume: Budgeting, Operating Budget, Securities, Financial, Financial Statements, General Ledger, Securities and Exchange Commission (SEC), Series 7, Wire Transfers, cpa
Credit Analyst - 20 Years of Experience - Near 10605
PROFILE Research analyst and compliance professional with over 30 years broad experience with various organizations in municipal finance. Leveraged municipal research skills to assist underwriting, sales, trading and investor clients to appropriately assess risk and price accordingly. Ongoing leadership roles over many years in key industry groups and in the development and mentoring of future talent. Track record of comple...
Tags for this Online Resume: Consulting, Credit Analysis, Research, Underwriting, High Yield, Insurance, Investment Opportunities, finance, municipal finance, municipal credit risk, municipal credit risk management, municipal surveillance, municipal portfolio surveillance, municipal disclosure compliance, public finance, municipal advisor
Lawyer - 20 Years of Experience - Near 10538
SUMMARY OF QUALIFICATIONS Proven Compliance and Regulatory Leader in the securities industry known for providing skillful legal guidance in securities compliance, regulatory, and legal issues. FINRA Series 7, 63 and 24 registered. Industry leading accomplishments include: * Founding co-chair of the Compliance and Risk Committee for the Securities Transfer Association.
Tags for this Online Resume: Compliance, Information Security, Management, Security, Audit, Drafting, Financial, Financial Services, Fixed Income, Legal
