Compliance representative dealer job description
Updated March 14, 2024
10 min read
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Example compliance representative dealer requirements on a job description
Compliance representative dealer requirements can be divided into technical requirements and required soft skills. The lists below show the most common requirements included in compliance representative dealer job postings.
Sample compliance representative dealer requirements
- Must have a bachelor's degree in finance or related field
- Minimum of 2 years of relevant work experience in compliance or regulatory affairs
- Strong understanding of securities industry regulations and compliance requirements
- Familiarity with FINRA, SEC, and MSRB rules and regulations
- Excellent analytical and problem-solving skills
Sample required compliance representative dealer soft skills
- Excellent communication skills, both verbal and written
- Strong attention to detail and ability to work accurately under pressure
- Ability to work collaboratively and build relationships with stakeholders
- Strong organizational and time management skills
- Ability to adapt to changing environments and requirements
Compliance representative dealer job description example 1
BNY Mellon compliance representative dealer job description
Supports the day-to-day efforts related to assessing whether assigned areas are in compliance with relevant laws, rules, regulations and policies and that control mechanisms are being deployed as expected.
Under moderate supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues.
May begin to suggest changes to improve work processes with moderate guidance, researches and collects data on compliance and control-related activities.
Compiles data into a useable format for more senior team members. Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy. Prepares reports for management on compliance status and reviews reports with more senior roles to confirm accuracy and completeness. Counsels’ business personnel on remaining in compliance or improving their alignment with established controls and compliance goals. Identifies compliance issues and escalates to more senior staff. With moderate guidance, provides technical support for professional staff's assessment of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting the assigned areas. Produces standard quantities of data to support risk-based reviews of existing and emerging regulatory requirements. Escalates issues to more senior support staff. No direct reports. Contributes to the achievement of team objectives modified based upon local regulations/requirements. Bachelor‘s degree or the equivalent combination of education and experience is required. 2-3 years of total work experience preferred. Experience with Financial Services Industry regulations, compliance operations or auditing preferred. Experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals with Disabilities/Protected Veterans. Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Employer Description:
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.
EEO Statement:
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Under moderate supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues.
May begin to suggest changes to improve work processes with moderate guidance, researches and collects data on compliance and control-related activities.
Compiles data into a useable format for more senior team members. Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy. Prepares reports for management on compliance status and reviews reports with more senior roles to confirm accuracy and completeness. Counsels’ business personnel on remaining in compliance or improving their alignment with established controls and compliance goals. Identifies compliance issues and escalates to more senior staff. With moderate guidance, provides technical support for professional staff's assessment of the effectiveness of controls that help ensure ongoing compliance with key laws, regulations and policies affecting the assigned areas. Produces standard quantities of data to support risk-based reviews of existing and emerging regulatory requirements. Escalates issues to more senior support staff. No direct reports. Contributes to the achievement of team objectives modified based upon local regulations/requirements. Bachelor‘s degree or the equivalent combination of education and experience is required. 2-3 years of total work experience preferred. Experience with Financial Services Industry regulations, compliance operations or auditing preferred. Experience with financial services compliance and/or experience with the assigned products, services or business lines/areas and the pertaining laws, regulations and rules of relevant regulators preferred.
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals with Disabilities/Protected Veterans. Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
Employer Description:
For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments and safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.
EEO Statement:
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans. Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
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Compliance representative dealer job description example 2
A and G, Inc. compliance representative dealer job description
About Us
Mercedes-Benz is USA is responsible for the sales, marketing and service of all Mercedes-Benz and Maybach products in the United States. In our people, you will find tremendous commitment to our corporate values. Our products and employees reflect this dedication. We are looking for diverse top-notch individuals to join the Mercedes-Benz Team and uphold these hallmarks.
MBUSA requires all new employees to present proof they are fully vaccinated against COVID-19 when they start work. Currently, "fully vaccinated" is defined as someone that has received both doses of the Pfizer/Moderna COVID-19 vaccines or one dose of the Johnson & Johnson COVID-19 vaccine. Individuals with a valid medical/religious reason preventing them from taking the vaccine may request an accommodation.
Job Overview
Provide parts information support to all Mercedes-Benz dealers to ensure that dealers can provide the highest level of service to the clients. Maximize Client CSI, reduce the incidents of buy-backs and resolve dealer parts issues by providing timely and accurate information on the technical application and order status of Mercedes-Benz parts.
Responsibilities
Research technical parts problems from dealers to specify correct part number for application. Coordinate the dissemination of technical information requiring PDC support (physical part verification, sample match, special orders to Germany, etc.) Review, research and specify part numbers for all special items to be ordered from factory.
Ascertain availability of parts and provide accurate and reliable estimates of arrival times based on research in Paragon/ ODUS with SCM, and Accessory Product Management. Provide pricing and substitution information on parts. Expedite urgent orders to reduce and assure dealer/client satisfaction and avoid delay. Determine type of part (Coded, HAZMAT, etc.) and correctly process orders according to client needs (VORs, Drop Shipments, Stock, D2D, and Employee Orders). Initiate contacts with SSPs at the PDCs to confirm stock, accuracy, expedite specific shipments and ascertain ship status.
Track progress of parts orders from shipment to delivery by obtaining information from Paragon and Internet according to shipping method. Provide SCM, Parts Technical, and Product Management with information on new items to be added to inventory, undocumented changes in parts applications and problems with MB accessories. Maintain current parts literature and knowledge of ongoing changes.
Contribute, compile and maintain the departmental database of technical parts, applications and issues. Clarify blocked parts issues. Actively engage in the improvement of systems, databases and other tools utilized to properly execute position responsibilities. Complete special assignments as assigned by Supervisor or Department Manager in time allotted. Assist in the training and development of newly hired staff.
Responding to MBUSA Dealer Inquiries regarding parts specification and logistical queries via an online CRM Tool/Web Portal and via telephone.
Ability to achieve required performance based KPIs to ensure the department is achieving its' goals and reaching/exceeding its SLA
Responding to Dealer questions regarding invoicing, pricing, billing, and crediting of parts and parts statements
Providing information regarding shipping and tracking of domestic and international parts orders
Managing a personal queue of cases to ensure inquiries are responded to in a timely manner
Escalation of dealer issues as needed and follow up to ensure their inquiry is properly addresses
Qualifications
Qualifications
5-7 years automotive or logistic work experience
Automotive-Retail: Proficient Knowledge of retail processes and procedures, with emphasis in, New and Pre-owned sales, accessories service and parts
A comprehensive understanding of the workings of a modern automobile and all the major components of the automobile
Familiarity with automotive parts catalogs (structure, substructure, callouts, etc…)
Strong comfort level utilizing multiple systems to specify and confirm technical and logistical information
Parts and Accessories: Proficient Knowledge of parts and accessories businesses, marketing strategies and other business practices
Education
Bachelor's Degree (accredited school) preferred but not required or equivalent work experience
EEO Statement
Mercedes-Benz USA is committed to fostering an inclusive environment that appreciates and leverages the diversity of our team. We provide equal employment opportunity (EEO) to all qualified applicants and employees without regard to race, color, ethnicity, gender, age, national origin, religion, marital status, veteran status, physical or other disability, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local law.
Mercedes-Benz is USA is responsible for the sales, marketing and service of all Mercedes-Benz and Maybach products in the United States. In our people, you will find tremendous commitment to our corporate values. Our products and employees reflect this dedication. We are looking for diverse top-notch individuals to join the Mercedes-Benz Team and uphold these hallmarks.
MBUSA requires all new employees to present proof they are fully vaccinated against COVID-19 when they start work. Currently, "fully vaccinated" is defined as someone that has received both doses of the Pfizer/Moderna COVID-19 vaccines or one dose of the Johnson & Johnson COVID-19 vaccine. Individuals with a valid medical/religious reason preventing them from taking the vaccine may request an accommodation.
Job Overview
Provide parts information support to all Mercedes-Benz dealers to ensure that dealers can provide the highest level of service to the clients. Maximize Client CSI, reduce the incidents of buy-backs and resolve dealer parts issues by providing timely and accurate information on the technical application and order status of Mercedes-Benz parts.
Responsibilities
Research technical parts problems from dealers to specify correct part number for application. Coordinate the dissemination of technical information requiring PDC support (physical part verification, sample match, special orders to Germany, etc.) Review, research and specify part numbers for all special items to be ordered from factory.
Ascertain availability of parts and provide accurate and reliable estimates of arrival times based on research in Paragon/ ODUS with SCM, and Accessory Product Management. Provide pricing and substitution information on parts. Expedite urgent orders to reduce and assure dealer/client satisfaction and avoid delay. Determine type of part (Coded, HAZMAT, etc.) and correctly process orders according to client needs (VORs, Drop Shipments, Stock, D2D, and Employee Orders). Initiate contacts with SSPs at the PDCs to confirm stock, accuracy, expedite specific shipments and ascertain ship status.
Track progress of parts orders from shipment to delivery by obtaining information from Paragon and Internet according to shipping method. Provide SCM, Parts Technical, and Product Management with information on new items to be added to inventory, undocumented changes in parts applications and problems with MB accessories. Maintain current parts literature and knowledge of ongoing changes.
Contribute, compile and maintain the departmental database of technical parts, applications and issues. Clarify blocked parts issues. Actively engage in the improvement of systems, databases and other tools utilized to properly execute position responsibilities. Complete special assignments as assigned by Supervisor or Department Manager in time allotted. Assist in the training and development of newly hired staff.
Responding to MBUSA Dealer Inquiries regarding parts specification and logistical queries via an online CRM Tool/Web Portal and via telephone.
Ability to achieve required performance based KPIs to ensure the department is achieving its' goals and reaching/exceeding its SLA
Responding to Dealer questions regarding invoicing, pricing, billing, and crediting of parts and parts statements
Providing information regarding shipping and tracking of domestic and international parts orders
Managing a personal queue of cases to ensure inquiries are responded to in a timely manner
Escalation of dealer issues as needed and follow up to ensure their inquiry is properly addresses
Qualifications
Qualifications
5-7 years automotive or logistic work experience
Automotive-Retail: Proficient Knowledge of retail processes and procedures, with emphasis in, New and Pre-owned sales, accessories service and parts
A comprehensive understanding of the workings of a modern automobile and all the major components of the automobile
Familiarity with automotive parts catalogs (structure, substructure, callouts, etc…)
Strong comfort level utilizing multiple systems to specify and confirm technical and logistical information
Parts and Accessories: Proficient Knowledge of parts and accessories businesses, marketing strategies and other business practices
Education
Bachelor's Degree (accredited school) preferred but not required or equivalent work experience
EEO Statement
Mercedes-Benz USA is committed to fostering an inclusive environment that appreciates and leverages the diversity of our team. We provide equal employment opportunity (EEO) to all qualified applicants and employees without regard to race, color, ethnicity, gender, age, national origin, religion, marital status, veteran status, physical or other disability, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local law.
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Compliance representative dealer job description example 3
OneMain compliance representative dealer job description
The Dealer Relationship Representative will be responsible for acquiring and developing new auto and powersports dealer business relationships. You will be responsible for familiarizing dealer staff with our organization and our program, which provides loans to consumers through dealers. This position plays a vital role in providing a high level of customer service and support to our Dealers as well as working closely with our internal team members.
OneMain Financial is the country's largest lending-exclusive financial company, proudly serving millions of customers with safe, affordable, and transparent installment loans. Our customers turn to us every day-online and at 1,500 branches in 44 states-to help them take control and improve their financial lives with solutions for debt consolidation, medical expenses, household bills, home improvements and auto purchases. Our talented and dedicated team members constantly look for responsible ways to serve our customers when, where and how they want. It is all about doing the right thing-a mission that has not changed for more than 100 years.
We are seeking a strong sales professional to provide exceptional customer service and identify potential dealer relationships within an assigned territory. The ideal candidate should possess:
* Strong ability to establish and cultivate relationships with dealers.
* Ambitious, self-starter and have great work ethic.
* Detail-orientated and have exceptional follow-up.
* Outstanding communication skills in both verbal and written.
* Strong telephone experience.
* Great team player.
* Ability to collaborate with internal departments to increase application flow and loan bookings.
* Flexibility to quickly adapt to changes within scope of role and departments.
Responsibilities:
* Entrepreneurial approach to managing and growing a defined sales territory.
* Prospect for new dealer partners, then present and sell OneMain products and services to all levels of management.
* Develop and maintain relationships with both independent and franchise dealers.
* Assist dealer partners with loan origination and deal funding.
* Participate in all sales meetings and calls.
* Work closely with management to analyze current and future sales prospects and trends.
* Keep management informed by submitting sales activity and results reports on a regular basis.
* Monitor competition by gathering current marketplace information on pricing, products, and marketing techniques.
* Work diligently to resolve customer complaints by investigating problems and developing solutions, preparing reports, and making recommendations to management.
* Exhibit professionalism, product knowledge, and customer service.
* Up to 75% travel within a designated territory.
Qualifications
* HS Diploma/GED required with equivalent work experience in related field, Bachelor's degree preferred.
* Basic understanding of the auto dealer and finance industry.
* Ability to persuade and influence others through a consultative & analytical sales approach.
* Above average presentation & communication skills.
* Driven to achieve company objectives and personal goals.
* Excellent verbal and written communication skills.
* Reliable internet and telephone service, and dedicated home office or workspace.
* A valid driver's license and acceptable motor vehicle records history
Benefits
Because we want our team members to bring us their very best every day, we believe they deserve the right opportunities and benefits. That is why we packed our comprehensive benefits package for full- and some part-timers with:
* Company vehicle and cell phone allowance
* Health and wellbeing options for team members and their dependents
* Up to 4% matching 401(k)
* Tuition reimbursement
* Continuing education
* Bonus eligible
* Paid time off
* Paid volunteer time
* And more
OneMain Holdings, Inc. is an Equal Employment Opportunity (EEO) and Affirmative Action (AA) employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender perception or identify, national origin, age, marital status, protected veteran status, or disability status.
OneMain Financial is the country's largest lending-exclusive financial company, proudly serving millions of customers with safe, affordable, and transparent installment loans. Our customers turn to us every day-online and at 1,500 branches in 44 states-to help them take control and improve their financial lives with solutions for debt consolidation, medical expenses, household bills, home improvements and auto purchases. Our talented and dedicated team members constantly look for responsible ways to serve our customers when, where and how they want. It is all about doing the right thing-a mission that has not changed for more than 100 years.
We are seeking a strong sales professional to provide exceptional customer service and identify potential dealer relationships within an assigned territory. The ideal candidate should possess:
* Strong ability to establish and cultivate relationships with dealers.
* Ambitious, self-starter and have great work ethic.
* Detail-orientated and have exceptional follow-up.
* Outstanding communication skills in both verbal and written.
* Strong telephone experience.
* Great team player.
* Ability to collaborate with internal departments to increase application flow and loan bookings.
* Flexibility to quickly adapt to changes within scope of role and departments.
Responsibilities:
* Entrepreneurial approach to managing and growing a defined sales territory.
* Prospect for new dealer partners, then present and sell OneMain products and services to all levels of management.
* Develop and maintain relationships with both independent and franchise dealers.
* Assist dealer partners with loan origination and deal funding.
* Participate in all sales meetings and calls.
* Work closely with management to analyze current and future sales prospects and trends.
* Keep management informed by submitting sales activity and results reports on a regular basis.
* Monitor competition by gathering current marketplace information on pricing, products, and marketing techniques.
* Work diligently to resolve customer complaints by investigating problems and developing solutions, preparing reports, and making recommendations to management.
* Exhibit professionalism, product knowledge, and customer service.
* Up to 75% travel within a designated territory.
Qualifications
* HS Diploma/GED required with equivalent work experience in related field, Bachelor's degree preferred.
* Basic understanding of the auto dealer and finance industry.
* Ability to persuade and influence others through a consultative & analytical sales approach.
* Above average presentation & communication skills.
* Driven to achieve company objectives and personal goals.
* Excellent verbal and written communication skills.
* Reliable internet and telephone service, and dedicated home office or workspace.
* A valid driver's license and acceptable motor vehicle records history
Benefits
Because we want our team members to bring us their very best every day, we believe they deserve the right opportunities and benefits. That is why we packed our comprehensive benefits package for full- and some part-timers with:
* Company vehicle and cell phone allowance
* Health and wellbeing options for team members and their dependents
* Up to 4% matching 401(k)
* Tuition reimbursement
* Continuing education
* Bonus eligible
* Paid time off
* Paid volunteer time
* And more
OneMain Holdings, Inc. is an Equal Employment Opportunity (EEO) and Affirmative Action (AA) employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender perception or identify, national origin, age, marital status, protected veteran status, or disability status.
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Updated March 14, 2024
Updated March 14, 2024