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Personal responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer. Bachelor’s degree and ten (10) years' financial services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu of degree a combined minimum of 14 years higher education and/or work experience including 10 years’ financial services industry experience with significant experience in senior level roles in broker dealer compliance.
$229,962.03 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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The Yacht Broker will be responsible for day-to-day tasks related to yacht sales, client management, market analysis, and negotiation. This is a full-time hybrid role for a Yacht Broker at Blue Oceans Yachting (formerly Crew Unlimited & C U Yacht Charters) in Fort Lauderdale, FL, with flexibility for remote work.
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Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring and AML compliance.
$300,000 a yearFull-timeExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
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The Dealer Commercial Services Intern will support our dealership Floorplan and Commercial Lending teams within Santander Bank. This 2025 Summer Internship is for undergraduate students who have an anticipated graduation date between December 2025 and May 2026.
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The Regional Tenant Advisory Leader is responsible for leading the Tenant Advisory practice across the Mid-Atlantic Region.
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As a yacht broker at Next Generation Yachting in Sunset Harbour Yacht Club and Marina, you will play a crucial role in driving sales and representing our brand in the yacht brokerage market. Proven experience as a yacht broker with a specialization in yacht, catamaran, or center console sales.
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The Dealer Commercial Services Intern will support our dealership Floorplan and Commercial Lending teams within Santander Bank. Selection into the DCS internship program includes exposure the following teams:Relationship officer: Work with a relationship officer to onboard our clients by ordering due diligence, Know Your Customer Questionnaire, monitor dealer transactions, assess quality control, risk level/rating.
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In this role, you will work with a team of external and internal wholesalers in an effort to build relationships with top financial advisors in the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using State Street's investment products.
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Process daily OEM dealer transfers. administer our Dallas Harley-Davidson dealership in Garland, TX. This is a. Black Gold Harley-Davidson is looking for a Dealership Controller with at least. A fun, relaxed, and casual work environment with awesome people by your side working as a team to ensure the entire group's success.
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Before applying, please keep Relationship Manager, Dealer, Relationship, Manager, Client Relations, Customer Experience, Banking, Business Services. Dealer Relationship Manager - Austin, TX - Austin, United States of America.
$102,500 a yearFull-timeExpandApply NowActive JobUpdated 9 days ago - UpvoteDownvoteShare Job
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The person in this role will support Dealer Lending’s Documentation Team by preparing commercial loan and retail/lease documents, supporting our customers and performing administrative tasks. Toyota Financial Service’s Dealer Lending Department is looking for a passionate and highly motivated Documentation Administrator.
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U.S. Customs Broker License. As the Import Manager of Customs Brokerage Operations, you will be instrumental and responsible for the growth and development of the Customs Brokerage Operations of our IL Office.
$115,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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The Support Broker/Consultant works with members on plan/budget development, submission, and revision. A four (4) year degree in the field of Human Services (psychology, sociology, social work, recreational therapy, education, nursing, physical therapy, occupational therapy, speech, etc.
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Cavalier Logistics is seeking a full-time licensed Customs Broker to join our team. Customs Broker License required. Licensed Customs Broker. Minimum 5 years of experience working in an import and 3 years as a licensed broker.
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Expert knowledge of CFTC, NFA, and swap dealer rules required. In addition to leading the oversight of the swap dealer compliance program, the CCO will provide management and the Board with periodic updates, ensure adequate policies and procedures are in place, administer the firm's training program, coordinate and oversee regulatory exams and requests and prepare the annual CCO report.
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Title: broker dealer Company: Kms Financial Services
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