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University of North Texas System
Fort Worth, TX, United States
Title: Compliance Manager Employee Classification: Compliance Manager Campus: University of North Texas - Health Science Center Division: HSC-Div of Rsrch & Innovation SubDivision-Department: HSC-Div of Rsrch & Innovation Department: HSC-Rsrch Compliance-390000 Job Location: Fort Worth Salary: Commensurate with experience FTE: 1.00
Job Source: University of North Texas SystemAt Home Stores LLC
Coppell, TX, United States
Job Description Job Summary The Manager of Trade Compliance will have an opportunity to contribute to building At Home's Global Trade Compliance program from the ground up. To succeed in this role, the individual must act independently with the following behaviors guiding their work: act with urgency, obsess over learning, behave like an owner, an
Job Source: At Home Stores LLCAccenture
Irving
About Accenture: Accenture is a global professional services company with leading capabilities in digital, cloud and security. Combining unmatched experience and specialized skills across more than 40 industries, we offer Strategy and Consulting, Interactive, Technology and Operations services—all powered by the world’s largest network of Advanced
Job Source: AccentureExpeditors
Grapevine, TX, United States
Company Description Become a member of a global community! The international logistics industry is an integral piece of the global trade puzzle; we make the world go round. Global supply chain management is what we do, and at the heart of Expeditors you will find professionalism, leadership, and a friendly environment, all of which foster an innova
Job Source: ExpeditorsCitigroup
Irving
The Audit Manager is an intermediate level role responsible for performing moderately complex audits and assessments of Citi’s risk and control environments in coordination with the Audit team. The overall objective is to utilize in-depth subject matter expertise to ensure that the firm meets audit standards and regulations and to work with busines
Job Source: CitigroupBrewer Morris
Arlington, TX, United States
Key Accountabilities Support the review of all international tax aspects of the international tax compliance filings including Forms 5471, 8858, 8865, 1120F, and 1118, as well as related disclosures and filings. Support the review of all domestic tax aspects of the U.S. Consolidated Income Tax Returns and Partnership tax returns, including Forms
Job Source: Brewer MorrisCharles Schwab
Westlake
**Your opportunity** At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together. In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices building
Job Source: Charles SchwabRobinhood
Roanoke, TX, United States
Join a leading fintech company that's democratizing finance for all. Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood is lowering barriers and providing greater access to financial information. Together, we are building products and services that
Job Source: RobinhoodRoanoke, TX, United States
Your Opportunity
At Schwab, you're empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us "challenge the status quo" and transform the finance industry together.
In Compliance, we help our business partners achieve their strategic priorities by promoting principles and practices building client trust and safeguard the integrity of the Firm.
The Senior Manager will join an engaging and dynamic team supporting our business partners. This role will be responsible for providing compliance advice and guidance to Charles Schwab Investment Management, Inc. (CSIM), also known as Schwab Asset Management, and to the Schwab Funds/Schwab ETFs (the Funds) consistent with the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940 while maintaining an enterprise-wide view of compliance risks. This role will support the compliance programs for both SAM and the Funds and perform various compliance monitoring activities. This role is an individual contributor role reporting to the Director, Compliance.
Day-to-Day Responsibilities will include:
Providing compliance advice and guidance to business partners
Oversee, execute and/or support specific functional responsibilities that support the compliance programs
Perform compliance monitoring activities
Manage strong relationships with business partners and compliance colleagues alike
Understand and support business strategy, partnering with business leadership and product development teams through strong relationships with business partners
Participate in cross-affiliate projects
Support and participate in regulatory exams, internal audits and internal compliance testing
Additional projects and tasks based on business need and potential coverage gaps
What you have
Required qualifications: BS/BA degree or equivalent work experience
5+ years of compliance, legal and/or regulatory experience in asset management, preferably in an investment adviser/investment company compliance role
Competencies in relevant financial services, investment advisory and/or investment company regulation, securities laws and other regulations. ERISA experience is a plus
Preferred qualifications: Embraces an enterprise view in identifying, assessing, mitigating, measuring, and monitoring Compliance risks consistent with the Enterprise Risk Management Framework
Superior communication skills, both written and verbal, including the ability to develop concise and effective communications tailored to specific audiences
Ability to analyze issues and develop plans on a systemic level, thinking through potential connections and impact across the Schwab ecosystem, and developing roadmaps to achieve long term vision through short term deliverables
Ability to work independently and within a geographically dispersed team while managing multiple complex projects
Client focus; ability to effectively and quickly build relationships and establish trust, respect, competence and confidence
Email Alert for Manager, Compliance jobs in Roanoke, TX, United States
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