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Online Resumes with "on line trade review"
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
