- Principal Financial Group (Des Moines, IA)
- …our Trust Company and Investment Solutions-focused businesses, including compliance requirements related to ERISA regulations, collective investment trusts, ... counterparty exposure, concentration limits, and client requirements. + Monitor for ERISA compliance and disclosure requirements (eg, investor concentrations,… more
- Wells Fargo (West Des Moines, IA)
- …in fiduciary related financial services (includes trust services and trust operations, wealth management, fiduciary officer, compliance , operational risk, ... **About this role:** Wells Fargo is seeking a Director of Fiduciary Risk Oversight in Operational Risk...compliance management processes + Knowledge and understanding of trust , fiduciary law, and federal regulations/operations + Knowledge and… more
- Lincoln Financial Group (Des Moines, IA)
- …observing Lincoln's service offerings, and adhering to legislative and regulatory compliance standards. Quality reviews include evaluations of all complexity levels ... be doing** + Performing detailed reviews, evaluating plan documents for compliance and qualification, and identifying potential risks and/or financial liability to… more