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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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3+ years of automotive dealership experience (sales associate/representative, service advisor, parts counter, controller, marketing associate) 3+ years of automotive dealership experience (sales associate/representative, service advisor, parts counter, controller, marketing associate.
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Dealership management experience is a plus (sales manager, internet sales manager, business development manager, F&I manager, marketing manager, marketing director, parts manager, service manager, fixed operations manager.
$55,000 - $75,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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As an Associate Director on the US Regulatory Relations team, you will be responsible for maintaining effective regulatory relations and a compliance program for continuous monitoring, regulatory inquiries and exams associated with Futures Commission Merchant ("FCM"), Royal Bank of Canada Swap Dealer ("Swap Dealer"), Royal Bank of Canada Security-Based Swap Dealer ("SBSD"), as well as RBC Capital Markets, LLC ("RBCCM") and RBC CMA LLC ("CMA") based on the Regulatory Relations Coverage Model.
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The ideal candidate has a strong financial regulatory background, either from a federal regulatory agency, or as in-house counsel or outside counsel to a broker-dealer and/or investment adviser.
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Became Long Islands first Mercedes-Benz dealer in 1957. Mercedes Benz of Rockville Centre is looking for the Apple Genius of our dealership. As a Mercedes-Benz of Rockville Centres Product Specialist, youre highly skilled at uncovering customers needs, then following through with enlightening solutions.
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Familiarity with broker dealer compliance reporting, including SARs and CTRs. The Head of AML position involves leading and implementing comprehensive anti-money laundering (AML) efforts within a reputable broker dealer firm, ensuring compliance with regulatory requirements and mitigating financial crime risks.
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9-12 years’ experience working in the Financial Services Industry at a Broker-Dealer in the Middle Office or Operations areas. Familiarity with Fidessa & DTC Alert/CTM - A MUST. Knowledge of Broadridge BPS, Pershing NetX, Murex, IPREO. - A Strong Plus.
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Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment Advisor) or BD (Broker-Dealer) Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing.
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Capital One, National Association is a CFTC registered Swap Dealer. At least 5 years of Compliance or Audit experience with a Swap Dealer or Compliance or Risk Management experience at a commodity trading institution.
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Assisting the SD CCO in administering a Swap Dealer Compliance program. The Manager will also support internal and external risk reporting related to compliance risk as part of the broader Swap Dealer Compliance Team.
$168,700 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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As an Automotive Sales Manager your primary focus will be to establish professional relationships with customers and help their businesses become more efficient, effective, and profitable. Must have reliable home internet with sufficient bandwidth for video conferencing.
$55,000 - $75,000 a yearFull-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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5+ years of structuring or trading experience of asset-based securities at a broker dealer or investment firm. Screen securities and evaluate trade ideas in public structured products markets including ABS, CLO, RMBS and CMBS.
$100,000 - $200,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Familiarity with broker-dealer regulation, Dodd Frank, Reg AB, CFPB, state and federal regulators, lending, bankruptcy, and with various fixed income and derivative products. Advise trading desks on secondary sales/trading of RMBS, CMBS, ABS, CLO and other fixed income securities.
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Café Serafina is located on the busy corner of 58th and 7th Ave just steps from the iconic Central Park. Here you can enjoy the same high-quality ingredients you know and love from Serafina, in a more relaxed, casual environment with counter service, mobile ordering and self-seating.
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parts counter dealer jobs in New York, NY
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