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Online Resumes with "Brokerage Operations"
Brokerage Consultant - 15 years experience - Trading, Operations, Middle/Back Office and Sales ; Man
I'm a FINRA licensed Securities Brokerage Consultant with over 13 years experience in trading, middle/back office, sales and managing conversions/transitions. Furthermore, I'm a subject matter expert on brokerage operations with a successful record of relationship management, issue resolution, product knowledge and technical expertise in conversions. Willing to work domestically but also internationally.
A results oriented, professional with extensive experience in forecast analysis, project management, and conversion experience in banking, treasury analysis, and brokerage operations. Enthusiastic and hard- working leader with the objective of improving operating performance, profitability and business growth, by providing quality process improvements, leadership, transparent financial reporting, and superior customer service.
Accomplished & dedicated brokerage operations with expertise in Margin. Highly regarded as the consummate customer service specialist, & trains other employees in successful techniques on behalf of employers and FINRA regulations. Known for a proactive & positive attitude, & for a willingness to assist others.
Skilled financial professional with sixteen years expertise in retail and managed-money brokerage trading practices and back-office clearing functions. Analytical and detailed-oriented, able to identify and implement process improvements that increase accuracy, consistency, and efficiency. Collaborative team player with strong communication, decision-making and time management abilities. Experience as lead and subject m...
Tags for this Online Resume: Analytical, Advanced Excel , Advanced Access, Complex problem resolution, Business Process Improvemen, Business requirements matrixes, Business systems analysis, Securities, Management, Audit, Automation, Compliance, Fraud, Investment Management, Process Improvement
My goal is to work for a progressive organization where my dedication, leadership and experience will be appreciated.
AREAS OF EXPERTISE * * Brokerage Operations * Registered Investment Advisors - Asset Management and Wealth Advisors * Taxation * Regulatory Reporting: FINRA, SEC, NFA & CFTC * Internal Controls * Hedge Funds
SUMMARY OF QUALIFICATIONS Customer-centric, team-oriented franchise owner. Background includes business operations, financial oversight and marketing. Also, an accomplished Financial Services professional with 20+ years of experience concentrated in brokerage operations specifically: retail branches, high net-worth clients, institutional clients and back office operations. Possess strong work ethic and sharp analytical skil...
SUMMARY OF QUALIFICATIONS A successful senior manager with over 30 years of progressive experience in the fields of finance, compliance and administration in the financial services industry Strategic Planning Financial Reporting Regulatory Compliance Business Development Net Capital Computation Human Resources Administration Training / Mentoring Budget and Variance Analysis Brokerage Operations Internal Control Analysis Fin...
Summary: Assist and interact with client base in US and Canada with production reports in a 24x7 brokerage processing services operation. User support and customer service on company supported computer applications and platforms. Troubleshoot problems and advise on the appropriate action in a timely manner. Escalate requests to management as needed. Work with all aspects of Windows such as Microsoft office suite of products...
Tags for this Online Resume: Banking Industry, Accounting, Audit, Business Development, Custody, Fraud, High Net Worth, Infrastructure, Insurance, finance, excel, brokerage operations,middle office,back office,process improvement,project manager, controller
SUMMARY: * Lead Business Analyst with development background. Strong experience in CRD 2,3,4, Basel 3, Uncleared Margin Reporting, Margin, Data Migration, Trade applications Migration, Securitized Trading (ABS, CMBS, RMBS), Foreign Exchange (FX-Spot, FX-Swaps, FX-Forwards), Fixed Income (Bonds), Equities, Derivatives (Options, Swaps), Wealth Management & Prime Brokerage (Margin, Security Lending, Settlement) & Prime Brokera...