- 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
- TD Bank (Cherry Hill, NJ)
- …Business Sponsor Meetings, and Project Manager meetings + Supports the Program Director on the effective challenge process of all the evidence, documentation, and ... + Stays up-to-date on all regulatory requirements and supports the Program Director on the interpretation, training, and education + Maintains records and historical… more