Senior Manager, Client Compliance Operations

True Link Financial(1 month ago)

HybridFull TimeSenior$114,250 - $153,408 (estimated)Compliance

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.

View Original Listing

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.com

True 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.