- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior ... Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will...risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO… more
- Truist (Salt Lake City, UT)
- …States of America) **Please review the following job description:** Develop and maintain dealer client relationships with key auto dealer personnel in order to ... meet or exceed contract volume, quality, and efficiency goals. Support dealer clients by uncovering and solving needs through Integrated Relationship Management… more
- Charles Schwab (Westlake, TX)
- …to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker- Dealer and Investment Adviser programs. Though this is ... internal controls, policies, procedures, and systems designed to achieve and/or monitor compliance with applicable regulatory requirements. The Senior Manager is… more
- M&T Bank (Altoona, PA)
- …customer deposit accounts. Monitor Dealer commercial services audits and dealer commercial services statements to ensure compliance . + Understand product ... and managing a portfolio of auto, boat, and RV dealers/ dealer group(s) with highly complex lending and financial requirements....potential customers. Works closely with Sales Managers and Credit Manager to structure and price credits in order to… more
- Charles Schwab (Westlake, TX)
- …Senior Manager , responsible for conducting retail and independent branch office compliance testing. The Senior Manager is an individual contributor and will ... internal controls, policies, procedures, and systems designed to achieve and/or monitor compliance with applicable regulatory requirements. The Senior Manager is… more
- Citizens (Westwood, MA)
- …insurance regulatory requirements pertaining to marketing and advertising in a retail broker/ dealer environment. + Knowledge of compliance related matters within ... opportunities to stretch yourself! As the First Line Risk Manager , you will represent the first line of defense...role in identifying, managing, and mitigating the risk and compliance control environment. You will develop practical solutions to… more
- Charles Schwab (Phoenix, AZ)
- …of governance processes, risk management, and internal controls. The Broker- Dealer / Asset Management enterprise team is seeking an Internal Audit Technology ... Senior Manager primarily responsible for leading application reviews in business...for leading application reviews in business integrated audits. The Broker- Dealer /Asset Management team provides internal audit coverage of the… more
- PNC (Pittsburgh, PA)
- …contribute to the company's success. We are looking to hire a Compliance Program Advisor within PNC's Independent Risk Management (IRM) organization. This position ... field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. The ideal candidate will have background and experience in the… more
- BMO Financial Group (San Ramon, CA)
- Indirect Lending is seeking to build a more robust Dealer management program. This position will be responsible for developing, maintaining, overseeing and executing ... policies and procedures for a complete Dealer Management program covering 2,400 RV and Marine dealerships. This position will work with various constituencies… more
- Charles Schwab (Phoenix, AZ)
- …middle and back office operational functions. Reporting to a Director or Senior Manager of the Broker- Dealer /Asset Management team, the Internal Audit Technology ... of governance processes, risk management, and internal controls. The Broker- Dealer /Asset Management enterprise team is seeking an Internal Audit Technology… more
- Auffenberg Dealer Group (Shiloh, IL)
- Job Summary: The Automotive Parts Manager at Auffenberg Dealer Group in Shiloh, Illinois is a full-time, management position in the auto industry. This ... of automotive parts and inventory management. Compensation & Benefits: Auffenberg Dealer Group offers competitive salary packages and a comprehensive benefits… more
- JPMorgan Chase (Tempe, AZ)
- …client relationships. The KYC QC Officer will report to the KYC QC Manager . Our team is responsible for Anti Money Laundering (AML) strategic initiatives/projects to ... Consent Order initiatives and will require coordination with Project Teams, Compliance , Technology, Training, Communications, Legal, AML Operations and the Business.… more
- Citigroup (New York, NY)
- Serves as key function/business/product compliance risk manager and thought leader for Independent Compliance Risk Management (ICRM) responsible for ... for developing and executing the strategy for the firm's Independent Compliance Risk Management (ICRM) program for a function/business/product in line with… more
- Champion Homes (Middlebury, IN)
- …experience | Posted 19-Apr-2024 (EST) | Middlebury, IN, USA | Salary | Full Time Dealer Pick Up / Pay Clerk Reports to: Terminal Manager Status: Non-Exempt ... pay (keeping accurate records of such) Logs & Driver Compliance Keeping drivers files up to date Collecting money...(includes fuel tax sheets, logs, etc) Inventory Units & Dealer Packets Verify DPU Vin #'s Record & Report… more
- Golden Route Operations (Laughlin, NV)
- …State NV Shift Swing Type of Shift Full Time Department Casino Dealer Aquarius (Laughlin, NV) Description: General Summary Responsible for dealing all casino ... providing a great gaming experience to the player. The dealer will ensure that policies and procedures are followed...while providing exceptional guest service. + Advise supervisor or manager of irregular play or possible gaming violations. +… more
- WRG - Certified Herman Miller Dealer (Fort Worth, TX)
- Job Summary WRG is a Certified Herman Miller furniture dealer committed to finding highly motivated professionals with the passion to learn and grow in the company. ... high level of customer satisfaction. This position will report to the Design Manager and may support both commercial and healthcare products. Essential Duties and… more
- WRG - Certified Herman Miller Dealer (Carrollton, TX)
- …Summary WRG is a family-owned commercial, healthcare, and education sector furniture dealer located in Carrollton, TX that is committed to finding highly motivated ... Coordinator will support a high-volume, fast-paced team and report to the Manager of Installation and Logistics. This role will be responsible for reporting… more
- CIBC (New York, NY)
- …more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/Broker- Dealer ... /Swap Dealer Reporting to the Head of US Compliance Examination Program, the Compliance Examination Manager is accountable for execution of the US … more
- US Bank (Minneapolis, MN)
- …applicable to Corporate and Commercial Banking business lines The Senior Audit Manager also has strong knowledge of Compliance Management Systems. Global ... **Job Description** **Job Description** The Corporate Audit Services (CAS) Senior Audit Manager - Wealth, Commercial, Capital Markets is a senior level management… more
- SMBC (New York, NY)
- …advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... and trading groups with a focus on all Fixed Income activities including Primary Dealer . + Provides advice on regulatory and compliance requirements to business… more