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Online Resumes with "Trade Surveillance "

Brokerage Services, New York, NY

Over 12 years combined experience in Client Services, Brokerage, insurance, and Mutual Fund Back Office Operations. I am looking to target a position back into Brokerage Operations, or as a Trader’s Assistant. My goal is to utilize my FINRA Series 7 and 55 licenses.

Tags for this Online Resume: Brokerage, Back Office Operations, Business Analyst, Order Entry - Trader Assistant, Trade Surveillance , Fund Performance

Complianne Vice President with many yars supervising a staff in excess of 110 members. In addittion a thorough knowledge of the Securities Markets.

My career objectives are to bring my leadership skills to a firm that needs someone with my Skill Set , Knowledge and Experience in the Trading, Surveillance, and Compliance of Equities, Options and Exchange Traded Funds.

Project Manager

Tags for this Online Resume: Process Engineering, Service Delivery, Business Continuity, Trade Surveillance, Relationship Management, Client Service

Management Consultant, Program Manager

Executive Management Consultant with over 20 years of experience in business and technology transformation across a wide array of industries, including financial services, media, technology, advertising, retail, insurance, aerospace and manufacturing. Specializes in program development and project execution leveraging best-of-breed methodologies, with strict emphases on problem identification, solution provisioning and del...

Ideal Companies: advertising, financial services, new media, technology

Tags for this Online Resume: Program Management, Project Management, Project Governance, Management Consulting, IT Transformation, Business Transformation, Risk Management, Change Management, Vendor Management, Agile / SCRUM, Process Engineering, Business Analysis, Financial Management, Information Architecture, SDLC, Waterfall, Engagement Management

Financial Analyst - 15 Years of Experience - Near 94707

Professional Summary Self-motivated financial sector compliance professional. Diverse, broad-based skills and experience in financial analysis and accounting, audit, examinations, regulatory compliance risk, and testing and monitoring. Key strengths in audit, accounting, trade surveillance, market risk and sales practice. Excellent verbal, written, and interpersonal communication skills. Strong organizational, multi-tasking...

Tags for this Online Resume: Complaints, Arbitration, SEC, Securities, Securities and Exchange Commission (SEC), Compliance, Management, Sales, Advertising, Aml (Macro Lang)

Business Analyst - 20 Years of Experience - Near 10024

Summary * Mark-Andre Shiwolich is a hands-on project manager, business analyst and quality assurance testing manager focusing on financial application implementations (Compliance, Regulatory, AML, CDD, KYC, Trade Surveillance alerts, cases, SAR creation & submissions and related workflows & views) * Mr. Shiwolich's work experience has included: lead, coordinate and facilitate meetings create business and functional requirem...

Tags for this Online Resume: Data Mapping, Aml (Macro Lang), Compliance, Application Development, CIO, Equity, Management, Project Management, Project Management Office, Test

Project Manager

PROFILE * PMP-certified manager for successful deliveries within finance, risk, regulatory compliance and trading. * Proactively assessed regulatory risk drafted delivery roadmap and business case and coordinated for budget, funding and approvals * Analytical and detail-oriented PM with business and IT expertise to condense large information for audience-specific summary. * Skilled in interpreting complex rules to distil in...

Tags for this Online Resume: Compliance, Quality, Quality Assurance, Data Analysis, Data Quality, Management, Security, Support, Best Practices, Data Warehouse

Financial Services - 20 Years of Experience - New York

Accomplishments * Accomplished Functional Business Analyst / Project Manager / Program Manager with expertise in conversions and managing integration, while utilizing System Develop Life Cycle (SDLC) * Extensive knowledge of SDLC based on Agile and Waterfall methodologies * Strong emphasis on developing and implementing Project Management processes, standards and methodologies across financial services enterprise * Created ...

Tags for this Online Resume: Management, Capital markets, Documentation, Swift, Banking Industry, Mergers, Messaging, Business Analysis, Business Analyst, Project Management

Featured Profile


Proven multidisciplinary compliance officer with senior level experience with financial leaders including Deutsche Bank, Merrill Lynch, Nomura, Credit Suisse, AIG and Brown Brothers Harriman. Demonstrated career track record developing strategic roadmaps to ensure SEC, FINRA and GIPS compliance. Skilled at detailed Fortune 500 compliance analysis and accurate asset performance investment reporting. Strong expertise in multi...

Ideal Companies: none

Tags for this Online Resume: GIPS, FINRA, SEC, Policies and Procedures, Compliance, Investment Reporting, Strategic Planning, Personal Trading, Surveillance, Internal Controls, Process Improvements