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Search Results for Compliance Associate
- Suitability Review Associate
- Compliance Search Group - Northern, Vermont
- Executive Management
- Summary:The individual in this position will be responsible for preliminary review of client suitability on incoming new business, and for assisting with the firm’s trade blotter and mutual fund breakpoint analysis. Key Responsibilities: Monitor trading and account activity as detailed in the firm’s written supervisory procedures. Provide superior service to the Registered Representatives of the firm and their clients. Be responsible for account set-up and order processing for various investment products offered through ESI, as well as responding to phone and email (see more)
- Trainee Hourly
- Wal-Mart - Southern, Vermont
- Retail / Fashion / Grocery
- Company Summary Wal-Mart Stores, Inc. (NYSE: WMT) serves customers and members more than 208 million times per week at more than 8,600 retail units under 59 different banners in 15 countries. With fiscal year 2010 sales of $405 billion, Wal-Mart employs more than 2 million associates worldwide. Description Drives sales in assigned area Drives the financial performance of assigned area Ensures compliance with Company policies and procedures Provides supervision and development opportunities for hourly Associates in assigned area Upholds the Company's Open Door Policy Minimum Qualifications (see more)
- Securities Operations Representative
- Compliance Search Group - Northern, Vermont
- Executive Management
- Summary:This position is responsible for servicing registered representatives, branch office supervisors, field staff, clients and internal staff. Calls frequently involve researching discrepancies, performing in depth research and problem solving. Key Responsibilities: Effectively and efficiently handle high call volume regarding brokerage accounts, managed accounts and account maintenance items. Respond to questions from clients, registered representatives and home office associates. Research and resolve problems with maintenance requests, trades and commissions. Open accounts, (see more)
- Branch Manager I
- Citizens Financial Group, Inc. - Northern, Vermont
- Retail / Fashion / Grocery
- Responsibilities Manages all functions and staff of a Tier I branch. Accountable for maximizing branch revenues, sales, customer satisfaction, branch staffing, and minimizing operating losses. Deploys resources to optimize individual and team performance. Responsible for branch compliance with bank policies, procedures, and operational integrity. Prioritizes, manages, and communicates promotional campaigns and product initiatives. Conducts cold calls on prospective small business customers. Maintains and develops relationships with existing small business customers. Creates and manages to (see more)
- Branch Manager I
- Citizens Financial Group, Inc. - Northern, Vermont
- Retail / Fashion / Grocery
- Responsibilities Manages all functions and staff of a Tier I branch. Accountable for maximizing branch revenues, sales, customer satisfaction, branch staffing, and minimizing operating losses. Deploys resources to optimize individual and team performance. Responsible for branch compliance with bank policies, procedures, and operational integrity. Prioritizes, manages, and communicates promotional campaigns and product initiatives. Conducts cold calls on prospective small business customers. Maintains and develops relationships with existing small business customers. Creates and manages to (see more)
- Branch Manager I
- Citizens Financial Group, Inc. - Northern, Vermont
- Retail / Fashion / Grocery
- Responsibilities Manages all functions and staff of a Tier I branch. Accountable for maximizing branch revenues, sales, customer satisfaction, branch staffing, and minimizing operating losses. Deploys resources to optimize individual and team performance. Responsible for branch compliance with bank policies, procedures, and operational integrity. Prioritizes, manages, and communicates promotional campaigns and product initiatives. Conducts cold calls on prospective small business customers. Maintains and develops relationships with existing small business customers. Creates and manages to (see more)
- Retail Sales Associate, Day Part Time
- Macy\'s - Northern, Vermont
- Sales / Sales Management
- Overview: As a Sales Associate, you will be the most critical link in ensuring that our customers have a rewarding experience that will keep them coming back time after time. You will become a part of a dynamic selling environment where your fashion sense and selling strength will make you an important part of our team. Your responsibilities will include but are not limited to demonstrating OUTSTANDING customer service skills, meeting hourly selling and loyalty program standards, providing product knowledge to our customers and working as part of a team to meet individual, department and store (see more)
- Retail Sales Associate, Night Part Time
- Macy\'s - Northern, Vermont
- Sales / Sales Management
- Overview: As a Sales Associate, you will be the most critical link in ensuring that our customers have a rewarding experience that will keep them coming back time after time. You will become a part of a dynamic selling environment where your fashion sense and selling strength will make you an important part of our team. Your responsibilities will include but are not limited to demonstrating OUTSTANDING customer service skills, meeting hourly selling and loyalty program standards, providing product knowledge to our customers and working as part of a team to meet individual, department and store (see more)
- Retail Sales Associate, Night Part Time
- Macy\'s - Northern, Vermont
- Retail / Fashion / Grocery
- Overview: As a Sales Associate, you will be the most critical link in ensuring that our customers have a rewarding experience that will keep them coming back time after time. You will become a part of a dynamic selling environment where your fashion sense and selling strength will make you an important part of our team. Your responsibilities will include but are not limited to demonstrating OUTSTANDING customer service skills, meeting hourly selling and loyalty program standards, providing product knowledge to our customers and working as part of a team to meet individual, department and (see more)
- Retail Sales Associate, Day Part Time
- Macy\'s - Northern, Vermont
- Retail / Fashion / Grocery
- Overview: As a Sales Associate, you will be the most critical link in ensuring that our customers have a rewarding experience that will keep them coming back time after time. You will become a part of a dynamic selling environment where your fashion sense and selling strength will make you an important part of our team. Your responsibilities will include but are not limited to demonstrating OUTSTANDING customer service skills, meeting hourly selling and loyalty program standards, providing product knowledge to our customers and working as part of a team to meet individual, department and (see more)
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