Compliance Manager Career Research and Resources
Sun Trust Mortgage
• Audited all lines of businesses to assure internal operations, technology controls, policies and procedures were in alignment with established business practices, regulatory guidelines, and the Sarbanes Oxley Act (SOX). • Suggested effective remediation plans, when audits resulted in findings that were not acceptable according to the established policy, procedure, SOX, or regulatory guidelines that were often implement...
Avg. Salary: $75,000 · Company Rank: Not Available
Wells Fargo Advisors
Approve and process asset movement. Monitor day trading, margin calls, trade deficits and regulatory violations.
Avg. Salary: $75,000 · Company Rank: Not Available
Wells Fargo Advisors
Ensure policy, procedure, and regulations were being adhered to. Approved asset movement and client paperwork.
Avg. Salary: $75,000 · Company Rank: Not Available
Wells Fargo Advisors
Superior escalated customer service provider as the primary point of contact for all escalated client issues that could not be resolved by any one department. Owned escalations through resolution, using case management methodology, partnering with multiple departments, setting expectations and following up until issue was resolved.
Avg. Salary: $75,000 · Company Rank: Not Available
Wells Fargo Advisors
• Responsible for review and audit of department policy and procedures. Ensured that all operating procedures are up to date and being adhered to in accordance with the SOX. Reviewed for flaws as well as opportunities for improvement in order to reduce risk to the firm and implemented necessary changes. Identified gaps in risk controls and implemented remediation plans. • Resolved multi-departmental escalated issues whe...
Avg. Salary: $75,000 · Company Rank: Not Available
Cary Street Partners
• Reports directly to the Chief Compliance Officer and Director of Operations and responsible for various centralized Wealth Management support functions including, but not limited to, serving as a liaison between the branches and the firm to monitor and assist with branch operational issues and initiatives. • Oversees three branches consisting of 8 Financial Advisors and two Operations Mangers. Also responsible for supe...
Avg. Salary: $75,000 · Company Rank: Not Available
Carrington Mortgage Services
Avg. Salary: $60,000 · Company Rank: Not Available
Ntt Data Consulting Inc.
Avg. Salary: $60,000 · Company Rank: Not Available
National Bankruptcy Services, Llc
Avg. Salary: $60,000 · Company Rank: Not Available
Nationstar Mortgage Llc
Avg. Salary: $60,000 · Company Rank: Not Available
