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Online Resumes with "Broker dealer operations"

Financial Analyst

Tags for this Online Resume: Broker/Dealer Operations, Advanced Excel Skills, Quantitative Analysis/Statistics, P&L Management, Financial Statement Analysis, Due Diligence

Sales Assistant, Orlando

Tags for this Online Resume: broker dealer operations, operations, securities

Brokerage Clerk

Tags for this Online Resume: middle office support, broker dealer operations, back office, securities broker assistant, broker assistant, sales and trading support

VP Operationa

VP of broker dealer operations

Tags for this Online Resume: Broker Dealer, Fixed Income, Operations , Manager, Financial Industry

Featured Profile


Managed a Broker Dealer Operations and Trading Department - Compliance focused.

Regulatory Compliance Principal

Tags for this Online Resume: regulatory compliance, risk management, broker dealer operations, FINRA, Financial Services, compliance

VP Regulatory Reporting (broker-dealer)

Financial professional with experience in researching and interpreting SEC rule 15c3-1 and 15c3-3.

Tags for this Online Resume: Focus reporting, Repo charges, Broker dealer operations, regulatory Analyst, Rule 15c3-1, Rule 15c3-3

Financial Manager - 20 Years of Experience - Near 25526

PROFESSIONAL SUMMARY Financial professional with extensive experience in the areas of financial analysis, research analysis, asset management, operational management and strategic planning. Seeking an opportunity with an organization whereby my aforementioned skills will be utilized along with my demonstrated ability working with startup and venture capital companies, contract negotiations, financial modeling and budget ana...

Tags for this Online Resume: Equity, Accounting, Analytical Skills, Asset Management, Automotive, Balance Sheet, Bloomberg, Budgeting, Business Operations, strategic planning, operational management, financial modeling, contract analysis and negotiations

Business Analyst

Summary * Business Analysis experience in various domains including Mortgage, Capital Markets, Banking, and Retailing Agencies. * Investment Bank expertise includes Broker - Dealer operations, Risk Scoring, Collateral & Limits Management, Performance Measurement, and Portfolio Attribution. * Hands on experience in creating Business Process Models, which defined the high-level business activities and processes and provided a...

Ideal Companies: 2

Tags for this Online Resume: Management, Business Requirements, Documentation, Test, Test Cases, Test Plans, Test Scripts, Applications, Business Analysis, Business Analyst


SUMMARY OF QUALIFICATIONS ROCS Consulting Managing Director, 2000 - Present Proprietor of an Independent Consulting practice. The firm specializes in Regulatory, Compliance and Operational consulting for the securities and banking industry. ROCS Consulting provides assistance to Broker Dealers, Registered Investment Advisors, Banks, Trust Companies, Insurance Companies, Investment Companies, Bank Securities Dealers and Tran...

Tags for this Online Resume: Accounting, Back Office, Banking Industry, Capital markets, Complaints, Consulting, Derivatives, Equity, Financial, Financial Reporting

Bookkeeping Clerk - 20 Years of Experience - Near 77385

Tags for this Online Resume: Capital markets, BAR, Credit Card, Dell, Filing, Quick Books, Quickbooks