 | Resume: Management
Fort Lauderdale, FL US
OBJECTIVE: I am a customer oriented, results driven, detailed professional with a track record for exceeding quotas and building long term relationships. I obtain excellent managerial skills and have the ability to lead, direct and build a successful team of employees. I am seeking a managerial position with a progressive company offering opportunities for advancement based on demonstrative performance. EXPERIENCE: November 2007 to February 2008 Pizza Fusion Weston, FL General Manag | | | | |
| Resume: Project Manager/Business Analyst
Minneapolis, MN US
Summary •Skilled Business Analyst/Project Manager with background in banking, management information systems, credit, collections, and operations management. •Exceptional organizational, analytical, and managerial skills. •Working knowledge of SDLC, ITIL, PMBOK and SOA development methodologies. •Expert with Visio, MS Project, and Access. •Experienced with analyzing and creating use cases for project documentation. Education Master of Management Information Systems, Metropolitan Sta | | | | |
| Resume: Associate Director / Manager, Training
Westampton, NJ US
CORPORATE TRAINING PROFESSIONAL Results-oriented Training Manager possessing over 10 years of diversified experience conducting and managing training and related support services. Skilled in managing the development and delivery of high-quality print and e-Learning training, instructional materials and teaching aids, as well as technical user guides and quick reference resources. Proven success with managing internal and external vendors. Excellent client relations, communications, and presenta | | | | |
| Resume: Program/Business Manager
Oklahoma City, OK US
Seeking a position in Oklahoma City that will utilize my experience in DoD Program Management Experience: Program Manager: Extensive experience in DoD-related program management experience managing large, complex programs, DoD Contracts, execution through multiple sites, multiple disciplines and multiple environments, including operations, finance, aviation, vehicle maintenance, and procurement • Business manager for $13M facilities maintenance contract. Responsible for busin | | | | |
| Resume: Bus. Dev. Mgr./Mgmt.-Leadership
Fort Wayne, IN US
Career Objective: To be actively involved in the growth of a Customer-Driven & Employee-Focused Company --- whereby teamwork, collaboration, and communication is considered essential tools to success. Personal Strengths: “Business Facilitator” -- Facilitating and Strengthening Relationships via: Excellent people skills; Effective assessment, analytical, problem-solving skills; Pro-active approach to business; Divers | | | | |
| Resume: IT Manager/Project Manager/Business Analyst
Morganville, NJ US
SKILLS SUMMARY More than 8 years as Software Development & Support Manager and more than 10 years of experience in system analysis and programming for a financial software company . Strong background in project management, systems development life cycle methodology including Systems Analysis and Design, Quality Assurance and Change Management. Great deal of experience with global support operations. Strong background in Securities Processing, Data Vendor Feeds, Data capture and distrib | | | | |
| Resume: Consultant
Fort Lauderdale, FL US
Objective: Dynamic goal oriented individual with over twenty years experience in international business development, proven leadership and proactive skills, to support the long-term success in an innovative and pioneering organization. Summary: Engaging team oriented individual with extensive leadership, motivational, negotiating and after sales skills. Proven inter-personal and customer relations experience. Well versed in people and project management and accountability and develo | | | | |
| Resume: VP or Higher
Gulf Stream, FL US
IT Strategy & Planning + Service-Oriented Architecture + Project Management + Business Process Engineering + Software Design + Audit & Statutory Compliance + Client & Vendor Management + Business Continuity Planning Practical experience implementing Service-Oriented Architecture in live Production environments. Repeated success leading large cross-functional teams, including US and offshore resources. Architecture and software design. Technical expertise spanning multiple platforms and techno | | | | |
| Resume: Director or VP of Marketing
Livermore, CA US
GLOBAL MARKETING & PRODUCT MANAGEMENT EXECUTIVE Expertise in: Leading Edge Hardware and Software Products/Technologies, SaaS, Corporate Communications, Product Management, International Marketing, Profit and Loss, Product Strategy, Revenue & Profit Growth, System Integration, Planning and Budgeting, Pricing Effective in creating value, identifying and capturing business opportunities – directed R&D engineers in the design and development of a leading-edge technology product lines that e | | | | |
| Resume: Senior Compliance Officer
Cherry Hill, NJ US
EXPERIENCE: NIKKO AMERICAS HOLDING CO., INC., New York, New York Subsidiary of Nikko Alternative Asset Management, Ltd., Tokyo, Japan Senior Compliance/AML Officer 07-2006 to Present Acting Chief Compliance Officer 03-2007 to 11-2007 · Supervise all regulatory filings and maintain Form ADV for Registered Investment Advisers globally. · Manage and coordinate the SEC required annual review and completion of required CF | | | | |
| Resume: Senior Director of Legal Services & Secretary
Basking Ridge, NJ US
CORPORATE COUNSEL GOVERNANCE & COMPLIANCE OFFICER Legal/Regulatory Governance Compliance Ethics Corporate counsel and officer with years of experience in corporate legal, governance, compliance, ethics and administrative matters. Energetic, inspirational and influential leader and coach. Results-oriented and reliable manager and team member who builds consensus, excels under pressure and helps dev | | | | |
| Resume: Senior Compliance Officer / Equity Compliance / Compliance Manager
Flushing, NY US
Objective I am seeking a growing company who needs that missing piece and to obtain a challenging position that utilizes my years of experience in the brokerage and electronic brokerage industry to work in a growth-oriented, team environment. Work Experience Chief Compliance Officer 12/2006 - Present Schon-EX, LLC, Jericho, NY „X Assumed the role of Chief Compliance Officer 6 months after joining the NYSE Member Firm as a Compliance Officer „X Responsible for researching and responding to r | | | | |
| Resume: compliance officer
Campbell, CA US
-------------------------------------------------------------------------------- Objective: To obtain a challenging and rewarding position with a progressive financial services organization. Seasoned mortgage professional with thirty years experience in the Prime, Non Prime, Government, and Secondary mortgage markets. Areas of Specialization: Organization Start-Ups -Call Center Operations - Re-Organizations Change Management Including Risk | | | | |
| Resume: CHIEF COMPLIANCE OFFICER, COMPLIANCE OFFICER
Hopewell Junction, NY US
Education University of Miami School of Law, Coral Gables, Florida Juris Doctor, May 1977 Internship: Dade County Public Defenders Office (Academic Year 1976 - 1977) Activities: Member, Bar and Gavel Honor Society Senator, Student Bar Association Brooklyn College, Brooklyn, New York Bachelor of Arts, Political Science, June 1973 Polytechnic Institute of Brooklyn, Brooklyn, New York Aerospace Engineering (Attended September 1968 - June 1971) Activities: Founder / Pr | | | | |
| Resume: Senior Compliance Officer
Flushing, NY US
Objective I am seeking a growing company who needs that missing piece and to obtain a challenging position that utilizes my years of experience in the brokerage and electronic brokerage industry to work in a growth-oriented, team environment. Work Experience Chief Compliance Officer 12/2006 - Present Schon-EX, LLC, Jericho, NY „X Assumed the role of Chief Compliance Officer 6 months after joining the NYSE Member Firm as a Compliance Officer „X Responsible for researching and r | | | | |
| Resume: Compliance
Flushing, NY US
Objective I am seeking a growing company who needs that missing piece and to obtain a challenging position that utilizes my years of experience in the brokerage and electronic brokerage industry to work in a growth-oriented, team environment. Work Experience Chief Compliance Officer 12/2006 - Present Schon-EX, LLC, Jericho, NY „X Assumed the role of Chief Compliance Officer 6 months after joining the NYSE Member Firm as a Compliance Officer „X Responsible for researching and respondi | | | | |
| Resume: Compliance Officer / AML Officer
Murphy, TX US
Professional Experience 11/2005 to present: Independent Contractor, Dallas, TX. Compliance Consultant. Duties Include: Evaluate and write updates to supervisory and operational procedures; perform independent audits, discuss findings with clients, and make recommendations based upon audit findings; facilitate the various regulatory filing requirements on behalf of the clients; perform regulatory research on behalf of the clients and facilitate in the decision making p | | | | |
| Resume: Chief Compliance Officer
Matthews, NC US
SUMMARY Chief Compliance Officer with strong diversified regulatory and compliance background in the financial services, banking and insurance industry. Extensive compliance experience on SEC, NASD, NYSE, CFTC, OCC and FRB rules and regulations. Special expertise in the Investment Adviser Act and Investment Company Acts of 1940, Securities Act of 1933 and Securities Exchange Act of 1934. Known as knowledgeable, energetic, a leader and a team player. PROFESSIONAL EXPERIENCE TIAA-CREF Ind | | | | |
| Resume: Compliance Professionsl
Oakland, CA US
Qualifications: Over twenty years of experience in the financial services industry with expertise in compliance, trading and operations. Professional Experience: Chief Compliance Officer (CCO), Urchin Capital Partners LLC, S.F., CA 2007 to 2008 Executive Officer of an FINRA & SEC registered private investment bank (broker/dealer) based in New York and San Francisco, exclusively addressing the needs of institutional clients. My responsibilities include; Reviewing all compliance | | | | |
| Resume: Customer service, accounting and finance
Las Vegas, NV US
com E X P E R I E N C E _ ARES MANAGEMENT LLC, (“ARES”) Los Angeles, CA Vice President and Chief Compliance Officer (“CCO”) 11/2006 – 6/2007 Responsibilities included working in collaboration with Ares’ General Counsel, CFO and COO with respect to the oversight of Ares’ compliance program and providing regulatory expertise to the Capital Markets, Investment Management and Private Equity Groups | | | | |
| Resume: Compliance/Risk Management
Elk Grove, CA US
Position: Compliance Officer/Risk Management Background · Developed and implemented an effective Compliance Program to meet state and federal requirements, with documented risk-based policies and procedures, while providing maximum value to staff members through education and technology. · Oversaw, managed and directed all day to day compliance activities including, but not limited to, internal controls, training, testing, staffing, reporting, and monitoring. · Solid working knowledge of al | | | | |
| Resume: Vice President Operations or Financial Center District Manager or Vice President Risk Management ...
Sacramento, CA US
SUMMARY OF EXPERIENCE Extensive financial services experience in the areas of leadership, management, regulatory compliance, risk management, internal audit, branch & back-office operations, customer service call center, sales, loan origination, loan servicing, student lending and business continuity planning. PROFESSIONAL EXPERIENCE Wachovia Bank (Education Finance Division) - September 2005 to Present Assistant Vice President - Senior Risk Analyst (with Internal Audit function | | | | |
| Resume: Compliance
Hopewell Jct., NY US
Education University of Miami School of Law, Coral Gables, Florida Juris Doctor, May 1977 Internship: Dade County Public Defenders Office (Academic Year 1976 - 1977) Activities: Member, Bar and Gavel Honor Society Senator, Student Bar Association Brooklyn College, Brooklyn, New York Bachelor of Arts, Political Science, June 1973 Polytechnic Institute of Brooklyn, Brooklyn, New York Aerospace Engineering (Attended September 1968 - June 1971) Activities: Founder / President, Delta Delt | | | | |
| Resume: Senior Compliance Officer
Weston, FL US
EMPLOYMENT TradeStation Securities, Inc., Plantation, Florida Chief Compliance Officer, 2006 - 2008 Responsible for the overall regulatory compliance of a NYSE member firm and Futures Commission Merchant. Rewrote company’s Written Supervisory Procedures Manual. Oversaw responses to regulators, responses to customer complaints, internal audits, responses to regulatory audits, surveillance, registration, advertising and trade reporting. Advised management regarding compliance issues for ex | | | | |
| Resume: vice president compliance
toronto, ON CA
EDUCATION University of Toronto, Faculty of Law Juris Doctor, J.D., (LL.B.), 2002 McMaster University Honours Ba. Hon., 1997 Combined Honours Economics & Political Science Summa Cum Laude, With Distinction Canadian Securities Institute Conduct and Practices Handbook Exam, CPH, 1998 Canadian Securities Course, CSC, 1997 Mohawk College Advanced Spanish Language Program, 1993, 1994EXPERIENCE CIBC, CIBC Legal & Compliance, Wealth Management Compliance Senior Complian | | | | |
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