- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and continuing education options. **Job Summary:** Raymond James is hiring a Supervision Senior Advisor to review and analyze account disclosures and transaction ... to ensure compliance with regulatory requirements and internal policies including potential conflicts of interest . Assess and report on compliance risks,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …ingenuity and provides comprehensive solutions to complex problems. **Functional areas include** Conflicts of Interest : detect and prevent possible employee ... conflicts of interest including Outside Business Activities, Sponsorships, Gifts & Entertainment,...address these concerns as well as to resolve any conflicts . * Monitors and keeps up to date with… more
- TD Bank (New York, NY)
- …Room at TD Securities. This role is critical in reviewing, managing and mitigating conflicts of interest across the firm's global business lines. The ideal ... environment. **Key Responsibilities:** + Identify, assess, and resolve potential and actual conflicts of interest across TDS Securities with a primary focus… more
- TD Bank (New York, NY)
- …global policy rollouts, system migrations, and process reengineering + Serve as a senior advisor to business and compliance stakeholders on complex conflict ... TD Securities is seeking a highly experienced and strategic Senior Conflict Manager to join our Compliance Control Room....Room. This role is critical in managing and mitigating conflicts of interest across the firm's global… more
- KeyBank (Plymouth Meeting, PA)
- …without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest , and acting in the best interests of ... 19462 **Job Summary** The Sr Merchant Business Banking Sales Advisor serves as integral member of the Key Merchant...relationships with payment and card processing needs, the Business Advisor assists as part of the Core Business Banking… more
- L3Harris (Rochester, NY)
- …and thorough assessment, response, and resolution of E&C inquiries, conflicts of interest and allegations of misconduct. + E&C Advisor : Act as an adviser ... solutions connecting the space, air, land, sea and cyber domains in the interest of national security. Job Title: Senior Specialist, Legal Compliance (Ethics… more
- Citigroup (Jacksonville, FL)
- …end management, execution, and governance of key Compliance Programs such as Conduct, Conflicts of Interest and Compliant Management Governance and Oversight. + ... and Regulatory risk manager to serve as a key advisor and thought leader within the business, who is...and or overseeing of Compliant Management, Conduct and or Conflicts of interest programs, including Policy and… more
- GE HealthCare (Waukesha, WI)
- …Investigations, Monitoring, Improper Payments/Anti-Bribery/Anti-Corruption, Indirect Third Parties, Conflicts of Interest , International Trade Compliance ... **Job Description Summary** The Senior Compliance Leader - AI & Data will...and Financial Crimes Compliance + Serve as a key advisor to leadership on AI-related usage by Compliance +… more
- Oura (San Francisco, CA)
- …international frameworks. + Implement and manage corporate compliance policies, including conflicts of interest , whistleblower protections, and code of conduct. ... occasionally gather informally at local co-working locations. The AGC, Senior Director of Regulatory Compliance & Privacy will provide...Global Regulatory Compliance: + Serve as the primary legal advisor on FDA, EU MDR, and other global health… more
- KeyBank (Solon, OH)
- …without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest , and acting in the best interests of ... Description Preview** **Job Summary** Serves as the Relationship Manager and Financial Advisor to clients with moderately complex needs, introducing a full range of… more
- JPMorgan Chase (Plano, TX)
- …to practice law in the country of employment and successfully complete a conflicts of interest clearance review prior to commencement of employment. ... leading global financial services firm, as a trusted legal advisor . Be part of a dynamic team that manages...As a Marketing Legal Attorney - Assistant Vice President, Senior Counsel in the Marketing Legal team, you will… more
- S&P Global (New York, NY)
- …a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts of interest by monitoring and placing restrictions on personal ... Role/The Team:** S&P Global Ratings (S&P) is seeking a Senior Analyst - Accounting Specialist to work closely with...range of non-financial corporate sectors. + Act as an advisor to S&P analysts on discerning accounting, financial reporting… more
- L3Harris (Springfield, VA)
- …solutions connecting the space, air, land, sea and cyber domains in the interest of national security. Job Title: Senior Specialist, Systems Engineering - ... subject matter expertise to external organizations by serving as a key advisor and facilitator in planning, coordination, and deconfliction efforts. + Collaborate… more
- JPMorgan Chase (Plano, TX)
- …All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment. ... Serve as a trusted advisor on a range of legal and regulatory...Office of Legal Obligations Attorney - Assistant Vice President, Senior Counsel in the Office of Legal Obligations, you… more
- Walmart (Hoboken, NJ)
- …our advertisers. You will have the opportunity to make an impact at a senior stakeholder level as a member of cross-functional teams. **What you'll do ** Consults ... strong client base and fosters a positive work environment. Addresses conflicts proactively, seeking win-win solutions by maintaining professionalism and composure… more
- Vanguard (Malvern, PA)
- …in various committees and lead discussions related to effective supervision, conflicts of interest management, risk identification, control design, and ... oversight within the business. Core Responsibilities: + Serve as a trusted advisor to Vanguard's retail brokerage, financial advisor , advice, and wealth… more
- KeyBank (Salt Lake City, UT)
- …without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest , and acting in the best interests of ... is at the center of this client promise acting as the primary client advisor developing and implementing strategies based on the client's financial goals, and by… more
- Applied Materials (Santa Clara, CA)
- …and non-disclosure agreements, approvals related to intellectual property risk, and conflicts of interest . + Manage internal investigations and internal ... protect Applied Material's innovations. + Be a key legal advisor on complex contractual requirements and compliance related to...and following the prompts to speak to an HR Advisor . This contact is for accommodation requests only and… more
- KeyBank (Salt Lake City, UT)
- …without limitation, acting professionally at all times, conducting business ethically, avoiding conflicts of interest , and acting in the best interests of ... is at the center of this client promise acting as the primary client advisor developing and implementing strategies based on the client's financial goals, and by… more
- Corewell Health (Grand Rapids, MI)
- …privilege and work product protection. + Provides direction and oversight to the conflicts of interest reporting and resolution process for management and ... Job Summary - Senior Vice President, Chief Compliance and Privacy Officer...governing boards; collaborates with research and tax functions regarding conflicts of interest issues. Provides leadership and… more