Annealer Job Description Samples

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Dealer Lending Relationship Representative

Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job.

We believe in offering performance-driven individuals a place where they can build a career --- a place to expect more opportunities. If you are focused on results, dedicated to quality, strength and integrity, and possess the drive to succeed, then we are your employer of choice. Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit.

The information that you submit will be collected and reviewed by associates, consultants, and vendors of Regions in order to evaluate your qualifications and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be stored for a set period of time. You may review, modify, or update your information by visiting and logging into the careers section of the system.

Job Description: At Regions the Dealer Lending Relationship Representative develops, maintains and manages dealer relationships.

Primary Responsibilities •Responsible for having knowledge of all dealer services •Identify selling opportunities and implement business development strategies •Trains dealers on current programs •Provide management reports This position is exempt from timekeeping requirements under the Fair Labor Standards act and is not eligible for overtime pay. This position is incentive eligible.

Requirements •Bachelors degree and 5 plus years of sales and business development experience •Excellent communication skills •Must have the ability to travel frequently

Location: Houston, Texas EEO/AA/Minorities/Females/Disabled/Veterans

About Regions At Regions, our culture focuses on five core values that are a commitment to how we will do business: + Put people first + Do what is right + Focus on your customer + Reach higher + Enjoy life Through these values, our mission to make life better drives our desire to improve and make a positive difference in the communities where we work and live through financial investments and volunteering. EEO/AA/Minorities/Females/Disabled/Veterans

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Credit Analyst - Auto Dealer Floorplan Finance

Credit Analyst - Auto Dealer Floorplan Finance



Description Risk is present in all of Santander’s activities and effective Risk Management is a critical component of the Bank’s success. Through application of the Bank’s Risk Framework and the continuous identification and assessment of risk, Santander seeks to ensure that all of our businesses operate inside of clearly established limits, are able to proactively quantify exposures, and take corrective action when required.

As a member of the Risk Management division, you’ll be part of a diverse team of talented professionals who interact with senior risk team personnel, business managers and other Bank disciplines in order to understand business operations and dynamics, and analyze, monitor, and manage related risks. Assists Credit Risk with credit analysis utilizing the Commented Risk Rating to ascertain appropriate risk; underwriting of renewals, modifications and new deals. Provide support through the credit approval and closing process by also working with RMs for the credit risk component of the NILO document.

Reviews closing documents ensuring compliance with covenants and closing conditions are met. Assists with credit and risk management by monitoring assigned portfolio.

  • Assesses and formally reviews client Risk through periodic Audits and Credit File reviews + Assists with legal closing process, preparing, reviewing, and validating documentation, ensuring compliance and conditions are met + Communicates with client and Credit Officer regarding covenant exceptions + Communicates with credit team and relationship manager regarding covenant exceptions + Conducts industry and market analysis to identify issues; conducts third party verification via background, credit and due diligence + Continuously monitors client financials/information to ensure compliance with loan policies + Monitors and assesses client financials, collateral, loan covenants and risk ratings on a periodic basis + Performs credit analysis and underwriting on all new deals, renewals, maturities and modifications and verifies compliance with credit policy + Prepares Commented Risk Rating and credit component of NILO approval document + Prepares approval memorandum (NILO)

Qualifications + Bachelors Degree in Business Administration, Accounting, Finance, Economics or equivalent experience + 0-2 years experience + Effective verbal/written communication and interpersonal skills + Must be attentive to details + Proficiency in Microsoft Word and Excel + Strong organizational and administrative skills + Ability to multi-task


: Non-Std UW & Risk Analysis

Primary Location

: Texas-Dallas


: Full-time

Job Posting

: Mar 28, 2017, 4:52:19 PM

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Broker Dealer Regulatory Supervision & Oversight, Senior Business Risk And Controls Manager

Description: COMPANY OVERVIEW: Since 1918, it has been TIAA’s mission to serve, our ability to perform and the values we embrace that make us a different kind of financial services organization.

We’re dedicated to serving the financial needs of those in the academic, medical, cultural, governmental and research fields, and committed to helping make lifetime financial well-being possible for them. By building a culture that allows all employees to contribute their unique talents and skills, we’re able to provide our customers with fresh ideas and distinct perspectives to help them achieve their goals. We believe a diverse and inclusive workforce is one of our greatest strengths and a key measure of our success * . For more information about TIAA, visit our website at . POSITION SUMMARY:

This is a newly created role whose primary objective is to perform and facilitate Regulatory Oversight for the firms Retail Brokerage business with a focus on the oversight of Digital Advice and technology. These oversight functions include performing, assessing and developing controls, creating business line testing and developing policies and procedures to ensure compliance with applicable rules and regulations. This position sits in the business and maintains strong alliances with our business partners who provide services to the Broker Dealer.

Its mission is to ensure that we are actively and thoroughly executing our supervisory and oversight responsibilities while working with our partners to bolster their capabilities to comply with the rules and regulations. The role has a Digital Investment Advice focus but the role/scope of this job is broad both organizationally and in required knowledge. A thorough understanding of the retail securities business is essential, with emphasis on technology, regulatory needs and the development and implementation of control plans.

This is a leadership role, the responsibilities, of which, are to ensure effective remediation of non-compliant situations within the business unit through a collaborative re-design of process/controls and testing of their effectiveness. This position will serve as a subject matter expert regarding broker-dealer regulatory and compliance issues, effectively communicating complicated concepts to management, peers, and others stakeholders to ensure the Broker Dealer is in compliance with various Broker Dealer FINRA, SEC and MSRB rules and regulations. Recommends and implements changes to methods of performing work.

Provides input to policy to manage risk and exposure to the organization. Coordinates across our partners in the three lines of defense, focusing on developing their understanding of the areas to be reviewed, the written supervisory procedures, standard operating procedures and other relevant information that will enable an efficient and effective testing plan of supervisory controls. This position serves as a subject matter expert (SME) regarding broker-dealer regulatory and compliance issues while effectively communicating complicated concepts to management, peers, and other stakeholders.

It is imperative that this position maintains strong alliances with our business partners who provide services to the Broker Dealer. Frequent interaction with Legal, Compliance, Internal Audit and Risk as well as various other sales and administrative groups across the enterprise is expected. The SME will manage risk and exposure to the organization and ensure that the Broker Dealer (BD) is in compliance with various Broker Dealer rules and regulations (i.e.

FINRA, SEC, MSRB and DOL). This position will create and manage programs that support Regulatory Supervision and Oversight and have broad impact across the organization. The role requires flexibility and the ability to absorb other projects related to oversight of the Broker Dealer. Frequent interaction with the Broker Dealer Training Oversight and Policy and Procedure manager to identify training and procedural impacts on a regular and ongoing basis. KEY RESPONSIBILITIES AND DUTIES: + Develop business control test plans and enhance testing methodologies and processes and the Identification and remediation of business line control gaps + Update and implement new/amended processes/procedures as required based on requirements identified by escalated issues and or new rules and regulations including the development and implementation of policies and procedures that are in line with corporate guidelines.

  • Provide guidance to downstream providers based on new/amended processes/procedures and/or new rules and regulations + Enhance partnerships and alliances with the first, second and third lines of defense + Perform internal control testing by completing an independent review of the design and operating effectiveness of the internal control environment by executing on developed test plans with necessary evidence + Communicate results to control owners, noting any exceptions discovered and work with control owners on applicable remediation

  • Complete follow-up to ensure timely implementation of necessary steps to close exposed gaps + Assist in defining risk information and tools needed for the management of business unit process or products and ensure the capture of appropriate risk-related data to support the measurement and management of risk.

Qualifications: QUALIFICATIONS: Preferred Qualifications: + Candidate must have a technology background and understanding of the digital space as well as an understanding of how a Broker Dealer Operates.

  • The ideal candidate would have served in a technology role that sits in the business.

  • This role will require a self-starter who can identify, analyze and create process improvements and suggestions with the goal of ensuring compliance with Broker Dealer Rules and Regulations. Equal Employment Opportunity is not just the law, it’s our commitment.

    Read more about the Equal Employment Opportunity Law at . If you need assistance applying due to being visually or hearing impaired, please email Careers Help . We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status. * ©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017 C23921


Advocacy and Oversight

Primary Location: MA-Waltham

Req ID: 1707906

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Responsible for dealing games professionally, accurately and according to policies and procedures and ensure a positive customer experience. At least 6 months experience as a dealer is required.

Must be able to notify Floor Supervisor of any irregularities in the play and/ or transaction during the shift. Deal assigned games accurately. Take losing bets and pay winning bets according to established rules and procedures. Maintain a positive demeanor at all times.

*Excellent knowledge of each table game type including Craps *Excellent hand/eye coordination *Ability to deal cards using both hands *Excellent math skills *Must be able to obtain and maintain a Mississippi Gaming permit ID: 2017-1092 # of Openings: 5

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Dealer School Student

FireKeepers Dealer School classes are to be determined. Classes will be held daily, 4 hours per day, 5 days per week and 6 weeks long.

If you qualify and are selected to the School, attendance is mandatory and a dress code will be enforced. To be offered a Part Time Dealer position, you must

pass an audition at the end of Dealer School.

SCOPE OF POSITION: Responsible for the accuracy and professional, proficient manner in dealing assigned table game according to the company’s policies and procedures and in compliance with Gaming regulations.

ESSENTIAL DUTIES AND RESPONSIBILITIES: The following is a list of the main duties and responsibilities. However, other duties may be assigned as deemed necessary by management. All duties must be performed in accordance with Tribal, Federal, and other applicable requirements, organizational specific policies, procedures and practices.

  • Responsible for the protection and control of the game being dealt, i.e. Blackjack, Craps, Roulette, Mini-Baccarat, Baccarat or Big Six.

  • Conducts the games in accordance with the company’s policies and procedures, handling guest transactions and notifying Table Games Management of any irregularities.

  • Advises Table Games Management of any player disputes or arguments that may arise during the game.

  • Informs Table Games Management or other personnel of any important or relevant facts regarding specific players and their action.

  • Maintains a professional, friendly and courteous atmosphere providing the guest with a pleasant gaming experience, and notifying Table Games Management of any guest needs i.e., cocktails, Host Service, etc.

  • Promotes departmental and property wide promotions.

  • Knowledge of local jurisdiction gaming laws (Tribal, federal, state, etc.) and associated regulations as well as the company’s internal controls, policies and procedures.

  • Maintains the highest level of confidentiality.

  • Responsible for maintaining a consistent, regular attendance record as outlined in the FireKeepers Casino Hotel Attendance Policy.

  • Outstanding example of and a credit to FireKeepers Casino Hotel.

MINIMUM REQUIRED QUALIFICATIONS An applicant’s education, training and experience must be sufficient to demonstrate that the applicant possesses the ability to successfully perform each of the essential duties and responsibilities satisfactorily. FireKeepers reserves the right to verify the sufficiency of a candidate’s education, training and competencies through the interview process, testing and methods.

The requirements listed below are generally representative of the education, experience, and skills and/or abilities required to enable one to successfully perform the essential duties and responsibilities: High School diploma or GED. Proven knowledge, training and/or experience on the assigned game.

Basic knowledge of all current house procedures. Strong organizational and interpersonal skills. Must be at least 21 years of age.

GENERAL OR PREFERRED QUALIFICATIONS No general or preferred qualifications.

LANGUAGE SKILLS Ability to read and interpret documents such as safety rules, operating and maintenance instruction, and procedure manuals. Ability to write routine reportsand correspondence. Ability to speak effectively before groups of customers or employees of organization.

MATHEMATICAL SKILLS Ability to add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimal, and work with mathematical such as probability and statistical inference.

REASONING ABILITY Ability to define problems, collect data, establish facts, and draw conclusions. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables.

PHYSICAL & ENVIRONMENTAL DEMANDS: The physical demands described here are representative of those that must be met by a Team Member to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this position, a Team Member is regularly required to talk or to hear. The Team Member is also regularly required to stand, walk, sit, and use hands to handle or feel objects, tools or controls. A Team Member is occasionally required to reach with hands and arms, and to sit; climb or balance; and stoop, kneel, crouch or crawl.

Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception and the ability to adjust focus. Work is performed throughout all areas of the facility where the noise level varies from quiet to loud depending upon business. Must be able to work in a smoke filled environment. INDIAN PREFERENCE *Indian preference will be applied in the selection of qualified applicants in accordance with the NHBP Indian Preference in Employment Code, which affords employment preferences to NHBP Tribal citizens, parents or spouses of NHBP citizens and other Native Americans. For purposes of this preference, NHBP law defines "Native American" as: (a) an enrolled member of any other federally-recognized Indian tribes; (b) an enrolled member of a Canadian Indian tribe or First Nation; or (c) an enrolled member of the Grand River Band of Ottawa Indians or the Burt Lake Band of Ottawa/Chippewa Indians.

  • FireKeepers Casino Hotel reserves the right to make changes to the above job description as necessary.

Date Posted: 4/11/2017 Job Code: DealerStudent Location: FireKeepers Casino Hotel Address: 11177 Michigan Ave City: Battle Creek State: MI Country: United States of America

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Seasonal Model Dealer

This Seasonal position is responsible for proficiently dealing Blackjack while providing a friendly, enjoyable experience for our guests. Dealing Blackjack while providing a friendly, enjoyable experience for our guests + Must be 21 years of age.

  • Able to stand for a standard period of time.

  • Deal cards, which involve sweeping arm motions from side to side.

  • Finger dexterity so as to be able to shuffle and deal cards.

  • See and read so as to be able to identify cards and pay and collect bets.

  • Communicate effectively and maintain positive customer relations at all times.

  • Provide adequate games protection at all times.

  • Demonstrate proficiency in dealing and having Table Games knowledge.

  • Perform basic mathematical functions.

  • Professional appearance and demeanor.

  • Work varied shifts, including weekends and holidays.

  • Able to proficiently deal cards and/ able to pass an audition after the training provided.

  • This position spends majority of the shift outdoors either at the Citrus Pool or on 3rd Street where we have street gaming and is subject to sun exposure and varying temperatures, varying levels of crowds, noise levels, and smoke, the severity of which depends upon customer volume.

  • Ability to take initiative and exhibit flexibility.

  • A highly motivated and energetic personality.

  • Excellent customer service skills.

  • Able to effectively communicate in English, in both written and oral forms. Preferred: + High school diploma or equivalent.

  • Previous experience working in a similar resort setting. ID: 2017-2213

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Dealer Enrollment Professional

Dealer Enrollment Professional Tracking Code 35169 Job Description The person in this position, will be responsible for soliciting automotive dealers (dealers) to participate in direct mail campaign for automotive finance company (client) every month. Required to support the client's field representatives (reps). Provide post sales customer contact for inbound order fulfillment of print and print related services and/or kitting. Execute print/kitting/distribution orders from customers received through the online systems or through direct contact with the customer. Responsibilities + Managing outbound calls to dealers and some inbound calls from dealers and reps.

  • Tracking call activities with CRM + Understanding and sharing the client's ROI and historical data + Building relationship with both dealers and reps.

  • Provide all necessary support to sales/customer, including the following: receive calls, faxes, mail, and email; identify and resolve customer problems and issues in a timely manner. Handle customer concerns/issues as needed (i.e. dispute management, invoice reconciliation, etc) Provide proof of delivery, and order status upon request.

  • Process orders and change notices (also includes obtaining delivery special promises and special freight quotes) in related systems as required.

  • Perform pricing/generate quotes.

  • Verify composition or perform copy prep as needed for order processing purposes.

  • Manage ND/AR, item maintenance in applicable systems.

  • Coordinate all corrections and/or changes that occur during work-in process through written and/or verbal instructions.

  • Data entry responsibilities, setting up new items and managing current inventories.

  • Act as a communication link between external customer and all internal departments.

  • Performs other related duties and participates in special projects as assigned. Required Skills + HS diploma or equivalent with 4-6 years of relevant administrative/operational support in manufacturing operations or office environment directly related to the duties of the job, OR demonstrated ability to meet the job requirements through a comparable number of years of work experience. May possess additional education certification in this level.

  • Minimum 3 years of experience as telemarketer or customer service handling complains/claims + Planning and executing outbound calling strategies effectively.

  • Salesforce or similar CRM software experience + Basic direct mail knowledge + Requires excellent knowledge of functional area(s) related to the job or good knowledge related to a professional field of work.

  • Able to consistently apply applicable policies, procedures, regulations, and program objectives when carrying out the duties of the job.

  • May provide oversight of work conducted by junior level staff and/or review/audit work for accuracy.

  • Must have advanced knowledge of technology to include computers and software programs such as MS Office or MAC word processing, spreadsheets or other programs specific to the job in order to complete job duties successfully.

  • Must have excellent oral and written communication skills to communicate effectively across departments when completing assignments.

  • Must have strong organizational skills with ability to manage deadlines and prioritize workload and make adjustment to meet business needs. Job Location Monroe, Wisconsin, United States Position Type Full-Time/Regular Employee Referral Bonus eligible No

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Broker Dealer Inquiries Manager VP

Broker Dealer Inquiries Manager VP

Job ID: 3144663 Full/Part-Time: Full-time Regular/Temporary:

Regular Listed: 2017-04-17


New York, United States of America

Compliance At Deutsche Bank, good compliance is everybody’s responsibility. The Compliance department’s core functions support good compliance practice to prevent and detect violations of all applicable laws, rules and principles that observe high standards of individual behaviour and business conduct.

Working closely with the business, compliance professionals ensure that our risk based programme is both globally effective and locally anchored to our key divisional businesses. As an independent and robust second level control function, the Compliance Department seeks to manage compliance risk and deepen the culture of compliance at Deutsche Bank through the development and management of strategies that are sustainable and increases the trust of our clients.

Position Overview

Department: Compliance - Regulatory Management Group, Americas

Job Position: Broker/Dealer Inquiries Manager


Vice President

Purpose of the role: Responsible for coordinating, researching, preparing and responding to various inquiries from Regulators, primarily FINRA and SEC Manage ongoing engagement with various broker/dealer examiners for long-term relationship development purposes Gather and analyze data sourced from various internal Compliance, Business, Operational and IT personnel for request submission Validate that proposed submission is fully responsive and sufficient formalized Organize and lead calls internally and externally to resolve or clarify request-related issues Prioritize regulatory requests for Lines of Business and Control Groups Escalate trends and potential findings to senior management Synthesize and clarify regulatory requests for internal stakeholders Recognize when a matter needs to be referred to Legal or Compliance or Senior Management

Responsibilities: Function as primary point of contact for examining and supervisory agencies Update the RMG inquiries database (REITS) Present Regulatory activity to OpCos and SteerCos as needed Utilize the workflow tools used by the different agencies (e.g., FINRA Gateway) and continually monitor them for in-coming items Drive internal parties to completion of submission in time for deadlines set by regulators Work collaboratively within the RMG team and with primary coverage areas Contribute RMG reporting

Core Competences: Knowledge of various FINRA and SEC rules and regulations pertaining to Trading, Trade Reporting, Securities Offering, Reg SHO, Reg NMS, etc. is preferred Ability to interpret Trading and Booking (Blue Sheet) Data is preferred Background in Equities Operations and Technology for Options is a plus Familiarity with Prime Brokerage business is a plus Examination management skills or program management experience is helpful Proficiency in the use of Microsoft Excel and Microsoft Word is expected Strong communication and writing skills are required Attention to detail and excellent organizational skills are needed Comfort level with trading environment, pace, jargon is helpful For candidates applying for positions in the US: Deutsche Bank is an Equal Opportunity Employer - Veterans/Disabled and other protected categories. Click these links to view the “ EEO is the Law ” poster and pay transparency statement.

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Compliance Officer For Dual Registrant Broker Dealer

Description This position will report to the Chief Compliance Officer and manage the firm's trading surveillance systems, licensing systems, and anti-money laundering compliance activities. The individual should have the ability to assume the responsibility of Chief Compliance Officer should the need arise.

This position will be responsible for the day-to-day compliance activities of the broker dealer and manage 7 compliance employees. Duties & Responsibilities: Execute the Compliance department's surveillance program which may include analyzing trading activity consistent with the firm's policies and procedures Work with the Chief Compliance Officer to ensure appropriate support as needed for any regulatory matters revolving around the firm's activities and draft responses Stay current on "hot" regulatory topics, new regulations, and regulatory sweep exam topics and their impact on the firm's business/sales activities Create management reporting that summarizes the surveillance activities, patterns of questionable sales practice activities, and suspicious activity Support both the broker dealer and RIA Compliance Programs Report all compliance activities to the Fiduciary Investment Insurance and Risk Committee Be a part of or chair the Program Product Working Group for new products Design, develop, and write policies and procedures Interact with Marketing to provide compliant sales support Assist in developing a social media program Serve as the lead person for all regulatory exams Licensure of individuals and firm in all states and regulatory bodies Requirements Ten plus years experience working in broker dealer, RIA, and Insurance Agency Experience interfacing with FINRA, SEC, MSRB, and state regulators Licenses to include series 7, 24, 66 with series 53 and 4 preferred Knowledge of surveillance systems and review of such systems Extensive knowledge of broker dealer and investment advisor rules and the laws applicable to guidelines, OFAC requirement, and Suspicious Activity Reporting requirement Strong retail brokerage and investment advisory product knowledge Analytical/investigative skills to determine unusual or possible suspicious activity regarding transaction or account activities Ability to interact with all levels of management Manage email surveillance system from a second line of defense Knowledge of the DOL Fiduciary Rule Strong written and interpersonal skills #LI-KK1 Requisition Number: 17-0181 Post Date: 2/14/2017 Title: Compliance Officer for Dual Registrant Broker Dealer Part Time?: No City: Memphis State: TN

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Free Dealer Classes

Free Dealer Classes At Spotlight 29 Casino

Classes begin Monday, April 17, 2017

Classes run for 7 weeks, 5 days a week, Monday- Friday

You must complete a minimum of 16 hours of training per week.

You may attend from 11am- 3pm  or 3pm- 7pm each day.

You must contact HR, fill out an application and be qualified to pass a background investigation. Training is unpaid; classes will be held at Spotlight 29 Casino. Students must be available for the duration of the class, and attend a minimum of 16 hours per week. Please contact Human Resources at (760) 775-3053 for more details. 

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