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Online Resumes with "Investment Compliance"

Investment Services Professional

Contiune with career in financial services, where I can contribute with vast knowledge of investments, compliance regulation, audits, and process improvement

Principal, Investment Compliance and Legal Operations

Manager Due Diligence Analyst with Hedge Fund Risk Management and Control experience

I would like to utilize my Due Diligence experience at a Fund of Hedge Fund or in an organization, such as a Family Office, Foundation or Endowment, that conducts manager due diligence. I also feel the quantitative and analytical skills could also be parlayed into a research analyst position. I would like to return to a more analytical field with a balance of qualitative and quantitative work. Writing samples available.

Ideal Companies: investment consulting firms, family offices, multi-family offices, fund of funds, fund of hedge funds, foundations, endowments.

Tags for this Online Resume: Due Diligence, MPI, Zephyr, PerTrac, FactSet, Wilshire Atlas, MSCI Barra, Morningstar Principia Pro, Vestek, Security APL, Bloomberg, PSN, eVestment, HFRI

Developing Business Financial Analyst

Developing financial analyst with exceptional interpersonal communication and leadership skills. Resourceful, creative, loyal, etc.

Ideal Companies: Bank of America, Vanguard, IBM, Duke Energy, AXA, SPX, Transamerica

Tags for this Online Resume: Process Improvement, Process Development, BRD, Investment Compliance, Management Reporting, MFTP, CRD, Bloomberg, International Portfolio Reconciliation, Financial Statement Analysis, GL Accounting

Investment Compliance Paralegal

My career goal is to continue managing fund transactional and regulatory filing documents and gain more exposure in the adviser compliance arena.

Finance. Texas

Utilize skills, experiences, and education to contribute to the financial field in the securities markets.

Tags for this Online Resume: Investments, No Sales, Banking, Mutual Funds, Securities, Investment Compliance

Senior Vice President - 20 Years of Experience - Near 02118

I'm a Consultant and Senior Financial Services executive with over 25 years of experience fixing, growing and managing Wealth Management, Asset Management and Broker Dealer businesses. I have experience in all areas - including sales, marketing, operations, research, investments and compliance. Have been engaged as a consultant to large national custodians evaluating their technology solutions.

Tags for this Online Resume: Boston, Wealth Management, Financial services, Consulting, Sales, Management, SME, Platform conversion, Asset Management, High Net Worth, Benefits, Fixed Income, Private Client, Distribution

Lawyer - 20 Years of Experience

SUMMARY Experienced professional with twenty years of trust and estates experience, in both the legal and financial services arenas. Wealth preservation and trust expert with extensive experience in estate planning, trusts, tax preservation strategies, charitable giving, probate, elder law and business transition. Visionary leadership style with ability to motivate colleagues, as well as, contribute on an individual level, ...

Tags for this Online Resume: Probate, Management, Compliance, trust officer, wealth, wealth advisor, relationship manager, director, president, vice president, senior trust officer

Financial Analyst - 8 Years of Experience - Near 02184

SUMMARY OF QUALIFICATIONS A detail-oriented, self-motivated professional with extensive experience in the investment industry, areas include: ( Vendor Relationship ( Investment Compliance / GAAP * Client Reporting ( Oral and Written Communication * Budget and Control ( Problem Analysis and Resolution * Sales & Marketing

Tags for this Online Resume: Cash settlement, Compliance, Sales, Securities, Security, Billing, Bloomberg, Corel Wordperfect, Distribution, English Language

In Between

Tags for this Online Resume: Compliance, HR, Human Resources, Payroll, Audit, Accounts Payable, Cash Management, Drafting, Financial, Fraud

Compliance Officer - 9 Years of Experience - Near 11224

Tags for this Online Resume: SEC, Securities and Exchange Commission (SEC), Advertising, Compliance, High Net Worth, Mutual Funds, Policies and Procedures, Equity, Assessments, Audit