- Raymond James Financial, Inc. (New York, NY)
- …through education, experience or certification to develop affiliations with advisor and/or financial planning professionals/organizations to recruit advisors and/or ... to the firm. + May manage the process of advisor succession planning and counsel advisors on the establishment...and modeling may be required. + Securities rules and regulations in order to conduct proper due diligence analysis… more
- Excellus BlueCross BlueShield (Buffalo, NY)
- …handling. This includes but is not limited to acting as a strategic advisor to support clients in the decision-making process relative to benefit design, financial ... relationship development and assist with retention activities as a trusted Labor Advisor . For Ancillary Accounts: positions in this area are additionally responsible… more
- Bloomberg (New York, NY)
- …build resilient analytics pipelines, and support compliance efforts with emerging regulations like DORA. Your tools will drive strategic execution, empower senior ... DORA and similar mandates. + Serve as a trusted advisor to business and IT stakeholders, translating complex data...+ Exposure to Qlik Cloud's advanced features including Insight Advisor , AutoML, and NLP dashboards. + 5+ years of… more
- Citizens (Rochester, NY)
- …66 exams. The Investment Assistant II works closely with the assigned Financial Advisor (s) to maximize revenue production by serving as the primary liaison between ... and audit preparation while adhering to all FINRA, CCOIS, CFG and state securities regulations on a daily basis. You are responsible for the new account opening… more
- Amazon (New York, NY)
- …bad actors. This team would focus on ensuring selling partners are complaint with regulations , so we can identify and remove bad actors for entering Amazon. In this ... to help reduce costs, acting as the trusted finance advisor for the organization on complex, confidential projects, while...in risk management, compliance, and acting as a financial advisor to a organization stopping crime, this is the… more
- JPMorgan Chase (Pittsford, NY)
- …team, you will lead a team responsible for conducting thorough active account and Advisor book reviews. You will play a crucial role in ensuring high-quality work ... the team. + Develop expertise in securities rules and regulations through research and training. + Collaborate with the...potential issues to the Disciplinary Action Forum. + Conduct Advisor book reviews to identify trends or patterns that… more
- American Express (New York, NY)
- …ideal candidate has strong subject matter expertise across key financial regulations applicable to Finance organizations. **Key Responsibilities:** + Serve as the ... primary compliance partner and advisor on regulatory change management and new product /...Ordinance. For positions covered by federal and/or state banking regulations , American Express will comply with such regulations… more
- City of New York (New York, NY)
- …guidance and employee education regarding a wide variety of applicable EHS regulations to ensure the bureau's on-going and proactive compliance with various EHS ... regulations and initiatives. It also involves reviewing proposed rulemaking...as the Bureau's primary regulatory, environmental, health, and safety advisor by providing regulatory expertise, interpretation, and guidance regarding… more
- Microsoft Corporation (New York, NY)
- This role is not just about legal support-it's about being a strategic advisor to Microsoft's Global System Integrator (GSI) business. You will work across ... legal and business issues, and serving as a key strategic partner and advisor to business clients. + Lead complex technology transactions and develop negotiation… more
- JPMorgan Chase (New York, NY)
- Join JPMC's dynamic team as a Global Financial Crimes Legal Advisor , where your expertise in AML and financial crime regulations will drive impactful change. ... make a difference. As a Global Financial Crimes Legal Advisor in the Global Financial Crimes Legal team, you...risks, advises on products and services, interprets laws and regulations that impact the firm, and advises the firm… more