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Online Resumes with "Investment Advisory"

Compliance Manager

Tags for this Online Resume: Compliance, Series 7, Investment Advisory, Managed Money, Series 65, Advisor, Branch Compliance

Featured Profile




Tags for this Online Resume: BILLING EXPERT

Portfolio Administrator/ Operations

I am looking for a position where I can use my 23+ years of experience in supporting portfolio managers and clients in the conduct of investment advisory business.

Tags for this Online Resume: Advent Data System, Axys, performance, GIPS

Accomplished legal & compliance executive for registered investment advisory firms

Accomplished legal and regulatory executive with experience designing, implementing and maintaining US and Global compliance programs for equities investment advisory firms, managing global compliance teams, managing SEC regulatory exams, registering firms and private funds with various international jurisdictions, managing the acquisition and integration of other investment advisory firms, negotiating corporate agreements,...

Featured Profile

Financial Services Executive - 20+years experience/Relationship Manager and New Business

Represent an Investment Advisory Firm and interract with existing clients as well as with Financial Advisors who can refer clients to the firm. Work with a Bank in their Wealth Management Division/have responsibility for specific client relationships. Experienced in development of new business sources within wirehouse and regional brokerage firms Strong Presentation Skills

Ideal Companies: Nuveen Investments, Merrill Lynch, Mellon Bank, BB&T, , PNC, US Trust, Guggenheim, Lord Abbett, BlackRock, Eaton Vance, Ivy Funds, NWQ, Santa Barbara Advisors, Lazard, Pimco, Vanguard, Fidelity, Goldman Sachs, American Funds

Tags for this Online Resume: Investment Advisory Firm, Relationship Manager- Institutional and Individual Clients, High Net Worth /Customized portfolios, Portfolio Mgr/Client Liaison, Management Responsibility, Experienced in Interraction with Wirehouse and Regional Brokerage Firm's Wrap Fee Programs, Portfolio Management, Financial Services periodicals and novels, Sales, management, top producer, management responsibilities, Portfolio/Client Relationship Manager, Management of High Net Worth and institutional clients Fully Licensed, Outside Sales, Customer Relationship Manager, Customer Relations, CIMA Designation, Self-Starter/ Flexible, Money Management, High Net Worth Customer Relationships, Top Producer in Annual Assets Gathered, Effective Leader of Team, Proficient Microsoft Word, Excel and Powerpoint, Salesforce Software for Use in Tracking and Management of Client and Leads information, Offers Consultative Solutions to Financial Advisors and their clients.

Featured Profile

Featured Profile

Finanacial Analyst / Adviser

Seeking a career position with an established firm working in employee benefit plans, non-discretionary investment advisory or consulting.

Tags for this Online Resume: MBA, Accounting, Finance, Florida, Georgia, Alabama

Regional Manager, Compliance Professional, Branch examiner

Compliance professional with over 15 years experience in the securities industy including both traditional brokerage and Investment Advisory.

Tags for this Online Resume: Supervision, Rodk Management, Compliance, Sales Supervision

Chief Compliance Officer, Privacy Officer, Anti-Money Laundry Officer

I am the Chief Compliance Officer, Anti-Money Laundry Officer, and Privacy Officer with a number of years in securities brokerage/investment advisory and insurance compliance. I oversee the brokerage, investment advisory and insurance areas; however, I am seeking out new opportunities. I hold a number of FINRA designations (Series 7,24,53,63,66), am a licensed insurance producer in Illinois, and am a Certified Regulator...

Financial Analyst; Portfolio Manager; Asset Manager; Wealth Manager; Investments

To leverage both my global capital markets and financial advisory experience to obtain a financial analyst/financial advisory/asset management/wealth management/investment advisory position for a growth-oriented firm that values innovative solutions to further the success and profitability of business owners and clients.