- Charles Schwab (Lone Tree, CO)
- …and performs advisory, monitoring, testing, and educational roles to support management's supervisory responsibility and its efforts to achieve compliance with ... Company. We are currently offering the opportunity for a dynamic and engaging Compliance Professional to join the team as a Senior Manager responsible for conducting… more
- Raymond James Financial, Inc. (CO)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more
- Truist (Charlotte, NC)
- …or filed with the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC), Federal Deposit Insurance Corporation (FDIC) and ... other business units). + Review and update policies and procedures for compliance with governmental regulations and corporate polices and standards. + Coordinate… more
- Truist (Charlotte, NC)
- …or filed with the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC), Federal Deposit Insurance Corporation (FDIC) and ... W analysis processes including projects/initiatives with potential Regulation W compliance and reporting impacts. Provide training and guidance to subordinates… more