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Louisiana CAT is the only authorized Caterpillar Dealer for the state of Louisiana. Louisiana Cat has been proud to represent Caterpillar for 4 continuous generations in the state of Louisiana.
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The ideal candidate will have direct experience with new accounts processing at a registered investment advisor and/or FINRA member broker-dealer. New accounts processing at a registered investment advisory firm or FINRA member broker-dealer.
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Uncapped building automation sales opportunity with exclusive territory as Middle Tennessee’s only Flagship Dealer for Johnson FX’s open architecture systems! Exclusive Flagship Dealer – We’re the only flagship dealer in Nashville with an exclusive territory for Johnson Controls FX product line of open architecture solutions along with other highly respected brands.
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Five (5) years of broker-dealer, compliance, financial or operational audits/investigations or related experience. Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment.
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Assess the broker-dealer compliance program designed to prevent illegal, unethical, or improper business practices. - Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management, operations and compliance functions to ensure compliance with policies and SEC, FINRA and CFTC regulations.
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As a Dealer Account Manager with Westlake Financial, you will be educating and training our current Dealer partners in the assigned area, along with acquiring new source and contacts. Assist with the preparation of sales contracts by educating the dealer on what is needed for proper verification by Westlake Financial.
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As an Area Field Manager, you will be responsible for actively promoting the U-Haul brand and educating our independent business partners and leaders on the benefits and advantages of becoming a U-Haul dealer.
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Authorized dealer of Aston Martin, Alfa Romeo, Apollo, Bentley, Bugatti, DeTomaso, Ferrari, Maserati, McLaren, Pagani, Pininfarina, and Rolls Royce. Authorized dealer of Aston Martin, Alfa Romeo, Apollo, Bentley, Bugatti, DeTomaso, Ferrari, Maserati, McLaren, Pagani, Pininfarina, and Rolls Royce.
ExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
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First Choice Farm and Lawn is a Kubota Elite Dealer based in Troy, TN, with store locations in Union City, TN, Dyersburg, TN, Covington, TN, Eads, TN, Savannah, TN, Mayfield, KY, and Brookland, AR. They offer products from a variety of brands such as Kubota, Exmark, Bad Boy, Woods, Land Pride, CMI, Hustler, Echo, Wright, Bush Hog, Loftness, Merlo, Mean Green, GIANT, Versatile, Delta Trailers, and Texas Bragg Trailers.
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Broker dealer located in Orlando looking to bring on board a “AML Advisory Team Lead” to join their compliance team. In depth understanding of Bank Secrecy Act (“BSA”), USA PATRIOT Act, OFAC/Sanctions, and FINCEN requirements to be applied in practice for the respective business line’s Anti-Money Laundering program covered.
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Who We Are: Through our service brands Hyundai Motor Finance, Genesis Finance*, and Kia Motors Finance, we provide financial products tailored to meet the needs of Hyundai, Genesis, and Kia dealerships nationwide, including dealer inventory and facility financing.
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This position leads the sales activities and efforts of F2F distribution through registered representatives in the independent broker dealer (IBD) and bank/credit union channels. Existing relationships in the independent broker dealer (IBD) space is preferred.
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At least 5+ years of experience with the SEC, FINRA, CFTC, NFA, an exchange, an accounting firm or law firm with a focus on security or commodity regulations, a broker-dealer or an FCM. Experience in a compliance testing or audit role is strongly preferred.
ExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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A plus if experience negotiating trading agreements at broker/dealer, buy-side firm and/or law firm with an emphasis on equity swaps and the master confirmations associated with those transactions.
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LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated. Our broker/dealer powered by one of the world’s largest broker/dealers LPL.
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telemarketer dealer jobs in New Orleans, LA
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