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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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Maintaining up to date understanding of new and proposed regulations (SEC, FINRA, State) to determine applicability to the broker dealer based on a thorough understanding of the Firm’s current business model.
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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element CE, email surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales.
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Resort, hospitality, customer service, account management, sales, business development, server, restaurant, tourism, timeshare, sales agent, property management, vacation ownership sales, account manager, auto, automobile, RV, jewelry, restaurant, business development, actor, escrow, timeshare, vacation ownership, in-house sales agent, front line sales agent, vacation counselor.
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Prior management, Registered Investment Advisor and Broker Dealer experience required. Lead back and middle office operations including implementing policies, procedures, controls; overseeing day-to-day operations; and ensuring systems/processes are meeting the business needs of the Financial Advisors.
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We are a broker-dealer and RIA providing support to financial advisors in all areas of their business: compliance, technology, marketing, operations, practice management, and more.
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Must be able to be affiliated with our Broker Dealer. Focus is on maximizing internal referrals, working existing book of clients, and development of external new business sources to achieve annual sales objectives.
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Proven experience as a yacht broker or a background in yacht sales. The Yacht Broker is a specialized and client-focused role within our organization, responsible for facilitating the sale and purchase of luxury yachts and boats for discerning clients.
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Our customers rely on our B2B products and services through Data One Software, DMS Vue, Activator, Dealer Specialties, Cross Sell, Alliant, DX1, Travel Media Group and Franchise Ventures business units.
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Non-deposit investment products and services are offered through CUSO Financial Services, L.P. ("CFS"), a registered broker-dealer (Member FINRA/SIPC) and SEC Registered Investment Advisor.
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The Financial Business Partner (FBP) will serve as the primary strategic finance partner to the VP – Finance – CAT/OEM. The successful candidate will establish a financial review and accountability cadence across the division, drive the annual budgeting process, own the quarterly financial forecasts, and focus the VP and other members of the CAT/OEM division on strategic levers that will drive performance through evidence-based decision making.
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Position OverviewThe VP, Stop Loss-Distribution develops, manages, and directs new business & prospect/ broker facing activities for the RGA Stop Loss Direct Sales Team. Collaborates with staff performing underwriting and other services.
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Today, General RV Center stands as the Nation’s Largest Family-Owned RV Dealer, with locations nationwide and a global presence through our Internet Sales team. keywords car, rv, automotive, automotive dealership, finance manager, finance and insurance manager, special finance, AFIP, business manager, adp, ford, chevy, chevrolet, gm, lexus, dodge, chrysler, honda, buick, nissan, audi, mercedes, lincoln, toyota, hyundai, mini, bmw, subaru, winnebago, fleetwood, Camping World, Lazy Days, F&I, Finance Manager, alternative finance, sub prime.
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General RV was founded when Abe Baidas converted a Detroit gas station into a small RV sales and manufacturing facility in 1962. From those humble roots, we’ve grown into the nation’s premier RV dealer.
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business sales broker dealer jobs Title: representative financial sales in East-hartford, Connecticut
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