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Online Resumes with "Series 24"
Highly successful executive with over twenty years of experience in applying technology and business strategies enabling product, service and team breakthroughs that result in increased productivity, revenue, and organizational capability. Demonstrated strong systems implementation and product marketing background in a variety of Internet and financial services environments. Broad sales, product, marketing, communications...
Seeking an opportunity that will utilize my unique background to increase profits and drive productivity. Series 24 registered principal with 20 years of financial experience in trading, compliance, sales, marketing, risk management, retirement solutions, market making, best execution, business continuity, supply chain management and operations. Expertise encompasses several market sectors such as treasuries, corporates,...
To secure a position as a Risk Officer, or Compliance Officer, with a Financial Services firm.
Result and detail-oriented Senior AML Project Manager with 10+ years of experience directing large scale projects ($10M+) that comes in within tight deadlines and budget constraints (installed ACTIMIZE in 6-8 months); Clearing Firm AML Officer with extens
Seeking AML Project Manager, AML Consultant/contrator job, compliance officer/manager for broker dealer or SEC registered investment advisory firm
Tags for this Online Resume: clearing, securities, series 24, loyalty, finra, manager, clearing DTC DWAC, securities operations, series 24 series 7, relationship management, finra OFAC FinCen, manager associate
High energy, MBA grad with a strong educational background in finance, work experince in client relations with strong communication skills. Creative, loyal, and hard working.
Serve in a management,compliance or analyst role at a broker dealer or bank
I want to work for a company that will give me the opportunity to use my experience and is in need of a person with my FINRA registration licenses where we both mutually benefit.
I'm a Financial Professional with 10 years experience in the Retail Investment Industry. I have extensive experience with Securities regulation, compliance ,and supervision. As well as Investment Operations and Financial Customer service dealing with both Financial Advisers and Clients. I hold FINRA Series 7, 63, 24,4, 9 & 10. I also Hold Insurance Life , Health, and Casualty Certifications.