| Resume alert | Resumes 111 - 120 of 1144 |
Internal Audit Quality Assurance
New York, NY
... Audits of Citibank’s broker-dealer (15c3-1 customer protection), trust administration, regulatory reporting (Call Report) and FAS 160 (equity method investment accounting). AIG – Planned a substantive audit for two merged Bermuda based wholly owned ... - 2023 Aug 28
... Audits of Citibank’s broker-dealer (15c3-1 customer protection), trust administration, regulatory reporting (Call Report) and FAS 160 (equity method investment accounting). AIG – Planned a substantive audit for two merged Bermuda based wholly owned ... - 2023 Aug 28
Administrative Assistant Business Administration
The Bronx, NY
... A highly effective communicator capable of maintaining respectful, honest and upfront relationships with all associates PROFESSIONAL EXPERIENCE: THE BANK OF NEW YORK MELLON (6/9/2008 to present) Credit and Risk Management – Broker Dealer Senior ... - 2023 Aug 16
... A highly effective communicator capable of maintaining respectful, honest and upfront relationships with all associates PROFESSIONAL EXPERIENCE: THE BANK OF NEW YORK MELLON (6/9/2008 to present) Credit and Risk Management – Broker Dealer Senior ... - 2023 Aug 16
Regulatory Compliance, Financial Services exam, audit
Harrison, NJ
... ●Coordinated regulatory examinations/ audits ensuring broker/swap dealer entities addressed regulatory requirements. ●Identified corrective actions required by process deviations, procedure deviations, complaints, regulatory audits, customer, and ... - 2023 Aug 16
... ●Coordinated regulatory examinations/ audits ensuring broker/swap dealer entities addressed regulatory requirements. ●Identified corrective actions required by process deviations, procedure deviations, complaints, regulatory audits, customer, and ... - 2023 Aug 16
Regulatory Reporting Broker Dealer
Manhattan, NY, 10007
... Areas of Expertise •Broker/Dealer Rules & Regulations •Strategic Thinking •Risk Management •Legal & Compliance •Quality Assurance Monitoring & Testing •Financial Services Industry •Compliance Risk Assessments •SWAP Dealer and FCM Regulatory ... - 2023 Aug 15
... Areas of Expertise •Broker/Dealer Rules & Regulations •Strategic Thinking •Risk Management •Legal & Compliance •Quality Assurance Monitoring & Testing •Financial Services Industry •Compliance Risk Assessments •SWAP Dealer and FCM Regulatory ... - 2023 Aug 15
Customer Service Human Resources
Newark, NJ, 07102
... tasks are completed, good working relationships are maintained, and team priorities, goals and needs are met Wells Fargo Dealer Services, Basking Ridge, NJ 2012 to 2018 Collections Supervisor II ●Managed three teams in the Regional Collections call ... - 2023 Aug 09
... tasks are completed, good working relationships are maintained, and team priorities, goals and needs are met Wells Fargo Dealer Services, Basking Ridge, NJ 2012 to 2018 Collections Supervisor II ●Managed three teams in the Regional Collections call ... - 2023 Aug 09
Sales Representative Social Media
Brooklyn, NY
... ● Sales representative for green salespeople/ product specialist ● Used JSON for customer data analytics and to calculate dealer retention BMW of Brooklyn Brooklyn, N.Y Employee September 2020 – May 2023 • Sales of pre-owned and new vehicles using ... - 2023 Jul 31
... ● Sales representative for green salespeople/ product specialist ● Used JSON for customer data analytics and to calculate dealer retention BMW of Brooklyn Brooklyn, N.Y Employee September 2020 – May 2023 • Sales of pre-owned and new vehicles using ... - 2023 Jul 31
Back End Life Cycle
Brooklyn, NY
... Louis, MO Sr.QA Analyst Sep 2021-Present FITS – Fixed Income Trading System is a Web-Based application backed Bloomberg Trading order Manager which provides Branches and Headquarter of Edward Jones Financial services as Broker Dealer products as ... - 2023 Jul 31
... Louis, MO Sr.QA Analyst Sep 2021-Present FITS – Fixed Income Trading System is a Web-Based application backed Bloomberg Trading order Manager which provides Branches and Headquarter of Edward Jones Financial services as Broker Dealer products as ... - 2023 Jul 31
Customer Service Sales Manager
New York, NY
... online presence, using data to make proactive adjustments to sales procedures and targets • Prepared Sales Contracts and dealer agreements by leading and closing the deal from the beginning to the end • Prepared the specification and design of the ... - 2023 Jul 26
... online presence, using data to make proactive adjustments to sales procedures and targets • Prepared Sales Contracts and dealer agreements by leading and closing the deal from the beginning to the end • Prepared the specification and design of the ... - 2023 Jul 26
Research Analyst Investment Management
Paramus, NJ, 07652
... Crest Partners, New York, NY Jun 2013 – Aug 2013 Summer Internship • Worked in 9-week summer internship for agency broker dealer specializing in trade execution, marketing and research • Shadowed options traders on the desk learning various option ... - 2023 Jun 29
... Crest Partners, New York, NY Jun 2013 – Aug 2013 Summer Internship • Worked in 9-week summer internship for agency broker dealer specializing in trade execution, marketing and research • Shadowed options traders on the desk learning various option ... - 2023 Jun 29
Investment Banking Vice President
Summit, NJ
... Played a key role in attaining the firm’s broker-dealer license. Leveraged own personal network and oversaw all investment banking transactions. Yearly investment banking transaction and advisory fees of $2.5M+. BCMS CORPORATE – New York, NY 2010 ... - 2023 Jun 26
... Played a key role in attaining the firm’s broker-dealer license. Leveraged own personal network and oversaw all investment banking transactions. Yearly investment banking transaction and advisory fees of $2.5M+. BCMS CORPORATE – New York, NY 2010 ... - 2023 Jun 26