| Resume alert | Resumes 81 - 90 of 411 |
Representative Manager
Greenlawn, NY
... BROOKVILLE CAPITAL PARTNERS, Uniondale, NY 2010 – 2015 Chief Compliance Director AML Representative •Spearheaded compliance pertaining to retail and institutional transactional broker-dealer., tested system and procedures. Implemented new CE to ... - 2020 Apr 03
... BROOKVILLE CAPITAL PARTNERS, Uniondale, NY 2010 – 2015 Chief Compliance Director AML Representative •Spearheaded compliance pertaining to retail and institutional transactional broker-dealer., tested system and procedures. Implemented new CE to ... - 2020 Apr 03
Customer Service Manager
Hicksville, NY
... for the purpose of setting standards for establishing pricing • Administered and distributed new contract pricing and dealer compensation • Updated new pricing requests Managed contracts and pricing schedules • Updated new credits for contracts ... - 2020 Mar 27
... for the purpose of setting standards for establishing pricing • Administered and distributed new contract pricing and dealer compensation • Updated new pricing requests Managed contracts and pricing schedules • Updated new credits for contracts ... - 2020 Mar 27
Data Analyst Accountant
Lindenhurst, NY
... Sanwa Securities (USA) CO., L.P., New York, NY 1998-1999 Accountant Prepared daily estimated broker/dealer balance sheet including review of inventory, finance and customer receivable/payable components. Morgan Stanley Discover & CO., New York, NY ... - 2020 Mar 27
... Sanwa Securities (USA) CO., L.P., New York, NY 1998-1999 Accountant Prepared daily estimated broker/dealer balance sheet including review of inventory, finance and customer receivable/payable components. Morgan Stanley Discover & CO., New York, NY ... - 2020 Mar 27
Manager Project
Medford, NY, 11763
... CAREER ACHIEVEMENTS Played critical role during Broker Dealer Separation Project to facilitate successful separation of Bank of America’s institutional business activities from retail business activities to newly created BofA Securities. Spearheaded ... - 2020 Mar 13
... CAREER ACHIEVEMENTS Played critical role during Broker Dealer Separation Project to facilitate successful separation of Bank of America’s institutional business activities from retail business activities to newly created BofA Securities. Spearheaded ... - 2020 Mar 13
Manager Project
Huntington, NY
... Managed team of 5-7 analysts who conducted transaction monitoring investigations with specific focus on post-trade investigations within the broker-dealer, and institutional client segments for Compliance Monitoring and Testing. The review process ... - 2020 Feb 27
... Managed team of 5-7 analysts who conducted transaction monitoring investigations with specific focus on post-trade investigations within the broker-dealer, and institutional client segments for Compliance Monitoring and Testing. The review process ... - 2020 Feb 27
Service Representative Front Office
Hempstead, NY
... Coordinated and participated in paper confirmation Lock-Ins with a major broker-dealer mandated by the Federal Reserve; resulting in a 92% reduction in aged trades. STRONGIN ROTHMAN & ABRAMS, LLP New York, NY 2004- June 2005 Defense Litigation / ... - 2020 Feb 19
... Coordinated and participated in paper confirmation Lock-Ins with a major broker-dealer mandated by the Federal Reserve; resulting in a 92% reduction in aged trades. STRONGIN ROTHMAN & ABRAMS, LLP New York, NY 2004- June 2005 Defense Litigation / ... - 2020 Feb 19
Mutual Fund Attorney
Scarsdale, NY
... BURTON ** ****** *****, *********, ** *0583 914-***-**** ada096@r.postjobfree.com EXPERIENCE Morgan Stanley, New York, NY August 2004–September 2019 Executive Director Counseled clients on investment company, investment adviser, broker-dealer, ... - 2019 Dec 09
... BURTON ** ****** *****, *********, ** *0583 914-***-**** ada096@r.postjobfree.com EXPERIENCE Morgan Stanley, New York, NY August 2004–September 2019 Executive Director Counseled clients on investment company, investment adviser, broker-dealer, ... - 2019 Dec 09
Head of Trading / Trading Technology - front/middle/back office
Stamford, CT
... McNicoll, Lewis & Vlak, LLC, New York, NY 2008 - 2010 Managing Director – Head of Trading and Research Sales Led team through Broker/Dealer registration process. Implemented execution platform and ran institutional sales. Morgan Stanley, New York, ... - 2019 Nov 27
... McNicoll, Lewis & Vlak, LLC, New York, NY 2008 - 2010 Managing Director – Head of Trading and Research Sales Led team through Broker/Dealer registration process. Implemented execution platform and ran institutional sales. Morgan Stanley, New York, ... - 2019 Nov 27
Customer Service Sales Representative
The Bronx, NY
... •Maintain existing dealer network, while expanding the network to encompass the regions of St. Ann, St. Mary, Trelawny and Clarendon. •Ensure that daily dispatching process is carried out effectively and in a timely manner so that dealers are ... - 2019 Sep 20
... •Maintain existing dealer network, while expanding the network to encompass the regions of St. Ann, St. Mary, Trelawny and Clarendon. •Ensure that daily dispatching process is carried out effectively and in a timely manner so that dealers are ... - 2019 Sep 20
Executive Consultant
Smithtown, NY
... 2010 Consultant American Beacon Partners Established infrastructure and operational processes for new Broker/Dealer. • Implemented new commission system • Streamlined Financial Management processes 3 • Oversaw Trading Operations • Created Compliance ... - 2019 Sep 04
... 2010 Consultant American Beacon Partners Established infrastructure and operational processes for new Broker/Dealer. • Implemented new commission system • Streamlined Financial Management processes 3 • Oversaw Trading Operations • Created Compliance ... - 2019 Sep 04