Broker-Dealer Compliance Manager

Responsibilities: Ensuring regulatory compliant reporting, and all aspects of general ledger integrity and balance sheet substantiation Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process Develop a sound understanding of US GAAP related to investment bank products and...

JCW is partnering with a fast growing Auto Floorplan Lending firm that is looking to add a Dealer Relationship Manager to their team. This role would be remote for anyone located in the Salt Lake City metro area with a lending territory that stretches to Idaho Falls. If you're someone who wants to be the first line of contact with Independent auto dealers,...

We are looking for an enthusiastic Technology Services Broker (TSB) to join our growing sales team. In this role, you will have to source new customers and business contacts, demonstrate the industry knowledge in the "As A Service" products and services. Consult with clients on advanced technologies and the consumption models that drive business outcomes....

**Broker Sales Manager** Kansas City / Sales / Full Time Were looking for a **Broker Sales Manager** in the **Kansas/Missouri** market. This position has the primary responsibility for the development, growth and management of Gravies Health Insurance solutions through Broker Dealers, Brokerage General Agents (BGA), and strategic partners. Youll report to...

Job DescriptionJob DescriptionDescription:We are looking for an enthusiastic Technology Services Broker (TSB) to join our growing sales team. In this role, you will have to source new customers and business contacts, demonstrate the industry knowledge in the “As A Service” products and services. Consult with clients on advanced technologies and the...

Job DescriptionJob DescriptionSalary: About Us: OUR Rescue is an international non-profit organization dedicated to combatting child sexual exploitation and human trafficking. With operations in five regional offices around the world, we strive to create a world where everyone can live in safety and dignity. Our team is composed of passionate, innovative,...

Associate w/ Goldman Sachs & Co. LLC in Salt Lake City, Utah. Work directly with Institutional and Prime Brokerage clients and external brokers to settle client trades and resolve any trade-related issues. Perform essential functions for the team, including risk management, automation, model preparation, and trade assessment. Requires: Bachelor’s degree...

Intern - Compliance Analyst, Compliance Risk Management 2024 Paid Summer Internship May thru mid-August This internship is not eligible for relocation assistance. Local candidates preferred. Zions Bancorporation is one of the nation's premier financial services companies operating as a collection of great banks under local brands and management teams in...

Great Way is looking for an experienced licensed broker to direct the daily operation of its brokerage department - Great Way Customs Brokerage (USA). We provide great opportunity to grow your successful professional career in Great Way. Responsibilities This Customs Broker plays a leading role as the compliance director that not only ensures compliance...

Job DescriptionJob DescriptionAbout the RoleOpportunity to join well respected property/casualty insurance company that has built a solid reputation on values of integrity, honesty, hard work, and service to the community. As Human Resources Manager you will be responsible for various HR functions aimed at attracting, developing, and retaining top talent...

Great Way is looking for an experienced licensed broker to direct the daily operation of its brokerage department - Great Way Customs Brokerage (USA). We provide great opportunity to grow your successful professional career in Great Way.ResponsibilitiesThis Customs Broker plays a leading role as the compliance director that not only ensures compliance with...

Great Way is looking for an experienced licensed broker to direct the daily operation of its brokerage department - Great Way Customs Brokerage (USA). We provide great opportunity to grow your successful professional career in Great Way.ResponsibilitiesThis Customs Broker plays a leading role as the compliance director that not only ensures compliance with...

Job DescriptionJob DescriptionDescription:As Second Line of Defense, the Sr. Compliance Testing Manager has the responsibility to plan, scope regulatory and product testing, produce and analyze detailed reporting, monitor root cause analysis, identify trends in testing, and assess the adequacy and effectiveness of corrective action plans.Duties and...

Territory Sales Manager | Outdoor Power Equipment Chervon is one of the world’s largest power tool and lawn and garden equipment manufacturers with a rich history of innovation. Chervon’s commitment to build a better world by building better tools is evident in the products we manufacture and our green approach to manufacturing. We focus on hand-held...

Territory Sales Manager | Outdoor Power Equipment Chervon is one of the world’s largest power tool and lawn and garden equipment manufacturers with a rich history of innovation. Chervon’s commitment to build a better world by building better tools is evident in the products we manufacture and our green approach to manufacturing. We focus on hand-held...

Description: Provide critical support to the Division's Registration Section to facilitate the review and ultimate approval (or denial) of firms and individuals seeking registration in Missouri to transact business as broker/dealers, broker/dealer agents, investment advisers and investment adviser representatives. Job Functions and General...

Description:Provide critical support to the Division's Registration Section to facilitate the review and ultimate approval (or denial) of firms and individuals seeking registration in Missouri to transact business as broker/dealers, broker/dealer agents, investment advisers and investment adviser representatives.Job Functions and General...

Job DescriptionJob DescriptionChervon is one of the world’s largest power tool and lawn and garden equipment manufacturers with a rich history of innovation. Chervon’s commitment to build a better world by building better tools is evident in the products we manufacture and our green approach to manufacturing. We focus on hand-held portable power tools,...

Are you ready to make an impact at DTCC? Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At DTCC, we are at the forefront of innovation in the financial markets. We're committed to helping our employees grow and succeed. We believe that you have the skills...

Associate w/ Goldman Sachs & Co. LLC in Salt Lake City, Utah. Work directly with Institutional and Prime Brokerage clients and external brokers to settle client trades and resolve any trade-related issues. Perform essential functions for the team, including risk management, automation, model preparation, and trade assessment. Requires: Bachelor’s degree...