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Online Resumes with "Series 24"

Experienced Hands On Executive

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...

Ideal Companies: Google, funded start-ups, FBI, Credit Unions

Tags for this Online Resume: Product, Marketing, Leader

Operations Principal

Tags for this Online Resume: Operations, Compliance, Series 24, Series 99

Fixed Income, Compliance, Trading

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,...

Tags for this Online Resume: fixed income, compliance, trading, trade support, operations

Risk Officer, Philadelphia PA

To secure a position as a Risk Officer, or Compliance Officer, with a Financial Services firm.

Tags for this Online Resume: Risk Officer, Compliance Officer, Series 24, Financial Services, Brokerage Firm

Regional Manager, Colorado

Tags for this Online Resume: CFP, Series 24, Six Sigma Green Belt, MBA, Insurance , Series 7

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: AML project manager/consultant/officer, Actimize, broker dealer SEC investment advisory compliance regulation, CAMs, series 24 7 4 65 6 insurance license, private equity

Financial Manager, Branch or Department

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

Compliance Officer

Tags for this Online Resume: Series 24, Insurance license

Recent MBA Grad looking for new experience.

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.

Ideal Companies: UBS, Morgan Stanley, Nuveen Investments, Van Kampen

Tags for this Online Resume: Client Relations, Finance, Analyst, Marketing Specialist, Series 7, Series 24

Finance, Los Angeles

Serve in a management,compliance or analyst role at a broker dealer or bank

Tags for this Online Resume: trading, finance, series 24, series 7, analyst, hedge funds, investing, investments, fund

Compliance Registered FINRA

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.

Tags for this Online Resume: Registered, Series 7, 63, Series 9,10, Registered series 24, Licensed, License, Compliance

Featured Profile

Retail Investment Branch manager- Highly Licensed- 10 Years Experience

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.

Ideal Companies: Charles Schwab, Morgan Stanley, AIG, Goldman Sachs, Edward Jones, JP Morgan Chase, BOA/Merrill Lynch, Ect.

Tags for this Online Resume: Operations Manager, Branch Manager, Series 7, Series 24, Compliance, Supervisor, Series 4, Series 63, Series 9, Investment Operations