- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Job Summary:** Under general direction, uses extensive knowledge and skills obtained through education and to conduct comprehensive operational, compliance, and ... relevant regulations (eg FINRA, SEC), especially those associated with broker- dealer and registered investment advisor business models. + Planning, organizing… more
- Latham, The Pool Company (Williams, CA)
- …Products, the Pool Company, you will be responsible for inputting customer ( dealer /builder) orders into our production systems. The Shipping Assistant also works ... You Will Do : + Daily communication with our dealer base to: + Confirm orders 2 weeks prior...production and shipping teams + Daily communicate with Shipping Manager , Plant Manager and Production Manager… more
- Atria Wealth Solutions (King, NC)
- …business partners, we help our members reach their long-term and short-term goals. GENERAL ACCOUNTABILITY + The primary purpose of this position is to assist ... additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on...forth by the credit union, FINRA, SEC and the broker/ dealer . + Accountable for meeting annual business plan and… more
- Penske (Reading, PA)
- **Position Summary:** Assists the Dealer Compliance and Projects team with implementation of process improvement initiatives including: process design, training, and ... research and analysis of state and federal statutes for dealer compliance and Remarketing project initiatives. This role will...plan. * Will ensure regular communication with the Project Manager to convey progress, inhibitors or roadblocks to the… more
- Tioga Downs Casino Resort (Nichols, NY)
- …+ Open and close games in assigned area, verifying count as provided by Dealer . + Control and direct games in progress by monitoring and providing assistance, ... coaching, and correcting dealers, and notifying the pit manager of any disciplinary action to be issued with...with respect to player limits, special guests, gains/losses, and dealer performance. + Provide and monitor on-the-job training for… more
- TD Bank (New York, NY)
- …required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. + ... skills. + Proficient in Excel, Word, PowerPoint and SharePoint. ** General Job Description:** The Senior Compliance Officer provides advice,...more years of experience with a registered US broker dealer or regulator. + JD desirable but not required… more
- Antwerpen Automotive (Baltimore, MD)
- …ensuring customers understand vehicle purchase options and pricing. - Collaborate with the General Manager to plan and manage vehicle inventory. Benefits: - Our ... Company Overview: Join our dynamic team at Growing Family Dealer Group, a leading provider. We are dedicated to...why you're the right fit for this position. Growing Dealer Group is an equal opportunity employer, committed to… more
- TD Bank (New York, NY)
- …group responsible for delivering: . Fixed Income cash securities pricing . FI Dealer -to- Dealer order execution . FI Dealer -to-Client quoting solutions . ... enrich the lives of customers, communities and colleagues. As part of the general management of their function, Executives are accountable to deliver against TD's… more
- Canon USA & Affiliates (Mount Laurel, NJ)
- …relationships and grow market share within assigned territory - Provide product, promotion, and general lease sales training to the Independent Dealer base on an ... or retain CUSA product or service. Work with our Dealer channel partners to provide accurate and timely information...& Reseller issues jointly - Works closely with Relationship Manager to ensure targeted Dealers are managed in a… more
- CARMAX (Torrance, CA)
- …your career should be! **Provide an iconic customer experience - Summary:** Under general direction from the Business Operations Manager , this position is ... who are visiting location for interviews + Respond to general inquiries from job applicants + Coordinate all new...completed + At the discretion of the Business Operations Manager or Manager on Duty in the… more