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Online Resumes with "Securites"
Detail oriented, analytical, leadership minded, and business driven attorney with experience in securities litigation, securities regulation, and legal and compliance. Experience includes structured finance securities, securities class actions, FINRA arbitrations, fixed income securitization analysis, brokerage account analysis, GAAP and Sarbanes-Oxley compliance, corporate governance, staff and paralegal management, and a...
PROFESSIONAL SUMMARY Highly accomplished senior legal executive in positions of General Counsel and Deputy General Counsel. More than 20 years of experience at: (i) $9 billion dollar commercial bank, (ii) multidisciplinary regulatory compliance, risk management and financial advisory firm with offices in Los Angeles, NYC and Washington D.C., (iii) FINRA-registered Broker-Dealer, (iv) SBA-licensed Small Business Investment C...
Ideal Companies: 1946
A detail oriented financial services professional with years of Mortgage Banking experience, Underwriting and Servicing Compliance Review, HMDA Audits, Forensic and Quality Control Review. Has thorough understanding of Default Servicing Operations (Bankruptcy, Foreclosures, FHA/VA Conveyances, REO Marketing, and MI Claims) and Mortgage Origination Processing. Relationship builder adept at promoting customer service excellen...
Ideal Companies: 1982