Senior Manager, Client Compliance Operations
True Link Financial(1 month ago)
About this role
The Senior Manager, Client Compliance Operations at True Link will lead the development and scaling of compliance processes for its investment advisory business, focusing on accuracy and efficiency as assets surpass $2B. Responsibilities include managing end-to-end investment agreement workflows, maintaining audit-ready records, and collaborating cross-functionally to enhance compliance and quality assurance. The role requires strong organizational skills, experience in compliance within financial services, and proficiency in managing documentation and processes to ensure regulatory adherence.
Required Skills
- Compliance Processes
- Investment Agreement Workflows
- Audit-Ready Records
- Client Communication
- Advisory Fee Calculation
- Quality Assurance
- Regulatory Exams
- Risk Identification
- Process Improvement
- Documentation Management
+2 more
About True Link Financial
www.truelinkfinancial.comTrue Link Financial, Inc. provides innovative financial solutions specifically designed for individuals with complex needs and their caregivers. The company is known for its True Link Visa® Prepaid Card, which allows families and professionals to manage spending, set customizable spending rules, and monitor purchases in real time. With a focus on safeguarding the finances of exceptionally vulnerable populations, such as the elderly, individuals with disabilities, and those in recovery, True Link aims to enhance their clients' financial independence and protection. Established in 2011, the company has built a strong reputation for its commitment to service and impact in financial management.
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