- Charles Schwab (Lone Tree, CO)
- …team, as a Senior Manager , responsible for conducting risk-based compliance testing within our affiliated investment advisory programs and mutual funds. ... monitor compliance with applicable regulatory requirements. The Senior Manager is expected to make recommendations...corrective actions + Maintain a strong working knowledge of Investment Advisers Act of 1940 and Investment … more
- TD Bank (Portland, ME)
- …to promptly escalate instances of non- compliance . + Works independently as the senior manager /subject matter expert and may coach and educate others. as well ... outlined in the general description below. **Job Summary** The Senior Manager , Compliance Governance &...Total Rewards Package** Our Total Rewards package reflects the investments we make in our colleagues to help them… more
- M&T Bank (Clanton, AL)
- …Responsibilities:** The Compliance Advisor works under general supervision of the respective Senior Compliance Manager and/or Compliance Director but ... reporting, risk assessment, quality control and assurance, budgeting, technology solutions, compliance training + Fiduciary, Wealth and Investment Management… more
- Janus Henderson Investors (Denver, CO)
- …Teams. + Manage staff queries and breaches with confidentiality and sensitivity. + Support Senior Compliance Manager with Personal Compliance training, ... define and achieve superior financial outcomes through differentiated insights, disciplined investments , and world-class service. We will do this by protecting and… more
- Charles Schwab (Henderson, NV)
- …large family relationships and key investment advisor relationships. In addition, the Senior Team Manager is responsible for the management of a Personal ... is responsible for developing and maintaining relationships with registered investment advisors, trust beneficiaries, and other interested parties for...Trust Administrative Team. The Senior Team Manager assures compliance … more
- TD Bank (Charlotte, NC)
- …coordination of processes and information across related teams + Generally reports to a Manager / Senior Manager Compliance **EXPERIENCE & EDUCATION** + ... issues and related program risks and issues. **Job Description** Reporting to the Senior Manager , Global Regulatory Change & Library Governance, the … more
- Medtronic (Northridge, CA)
- …to solve problems, make progress, and deliver meaningful innovations. The Sr Program Manager - Development Process & Compliance will be responsible to ... on navigating through product development activities through the product lifecycle ensuring compliance with regulations and standards. + This role is critical to… more
- Charles Schwab (Westlake, TX)
- …Solutions business and prioritize investments in these areas. Within WAS, the Senior Manager , Alternative Investments Offer Management, will be a part ... clients invested in these products, while growing win-win monetization opportunities. The Senior Manager , Alternative Investments Offer Management, will be… more
- TD Bank (Charlotte, NC)
- …will be supported by a Senior Analyst and will work closely with the Senior Manager of Global Compliance Strategy and Operations, Program Management. The ... critical role reports to the lead Governance Program Management Senior Manager and will lead the design...and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related … more
- Charles Schwab (Southlake, TX)
- …a dynamic and engaging Compliance Professional to join the team, as a Senior Manager , responsible for conducting risk-based compliance testing within our ... monitor compliance with applicable regulatory requirements. The Senior Manager is expected to make recommendations...with a strong working knowledge of broker-dealer, bank, and investment adviser compliance risks, as well as… more