Amanda Dyson
Manager, Business Unit Risk at Schwab
- Role
- Manager Business Unit Risk at Charles Schwab
- Location
- Denver, CO, US
- LinkedIn followers
- 500 followers
About Amanda Dyson
EDUCATION/EXPERIENCE HIGHLIGHTS• 12+ Years in Financial Services Compliance Roles• 7+ Years in Financial Services Communications Compliance Principal Roles• 4 Years in Financial Services Sales/Financial Planning Assistant Roles• Working knowledge of finance, various types of securities, broker dealer and RIA services and methods of marketing• Thorough knowledge of SEC, FINRA, MSRB, NAIC, SIPC, and FTC rules with added emphasis on advertising• Competent using computers, Microsoft suite, taking committee meeting notes, making meeting agendas, responding to emails and general telephone inquiries.• History of satisfactory performance reviews analyzing, reviewing, and approving complex filing submissions and investment products• Learns and keeps up to date on changes in rules and regulations which impact Advertising.
Experience
Manager Business Unit Risk
Aug 2025 — Present · Denver, CO, US
Education
Johnson & Wales University Denver
Culinary Arts Degree, Culinary Arts/Chef Training
2005
Skills
- Wealth Management
- Investment Advisory
- Financial Services
- Analysis
- Securities
- Retirement
- Strategic Financial Planning
- Mutual Funds
- Management
- Retirement Planning
- Financial Advisory
- 401k
- Series 7
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