- Vanguard (Malvern, PA)
- The Compliance Director , Retail Advice will: + Serve as a trusted advisor to Vanguard's advice businesses. Work collaboratively with the businesses ... with applicable laws and regulations. + Lead, manage, and participate in compliance oversight efforts and projects within Vanguard's advice and wealth planning… more
- Vanguard (Malvern, PA)
- …of appropriate operational and supervisory oversight within the business. The Senior Compliance Director , Head of Retail Regulatory Enablement will: ... also provide strategic direction to a dynamic team of compliance professionals focused on Vanguard's Advice and...groups. + Serve as a trusted advisor to Vanguard's retail advice , wealth management, and brokerage businesses.… more
- TD Bank (Cherry Hill, NJ)
- …legal issues, drafts key documents, presents clear recommendations, and enhances legal compliance . + Provides ongoing advice to senior executives and other ... details for this role. **Line of Business:** Legal **Job Description:** The Director and Managing Counsel is responsible for assisting the General Counsel as… more