as they become apparent through the course of regulatory exams. The Regulatory Exam Manager implements the exam management process... informed of regulatory trends Exercising sound judgment to meet position responsibilities The Regulatory Exam Manager...
We are searching for a Compliance Manager/Officer within the General Counsel's Organization team, who is a hardworking... Complete independent research and analyze various information and reports prior to, and during an exam, to identify potentially...
advisory accounts. The role of Sales Supervision Manager - Advice is responsible for holistic reviews of advisors' practices..., investigations, and other regulatory matters, which may include on-the-record engagements with regulators or providing testimony...