Administer and manage the Company’s Gifts and Entertainment and Conflict of Interest Programs
Review and disposition employee disclosures related to gifts and entertainment
Review and resolve associates’ participation in certain outside activities, such as board positions and secondary employment, as well as certain personal financial investments and other potential business conflicts
Manage pre-clearance procedures and ensure and confirm compliance with internal policies and regulatory standards
Conduct comprehensive and complex COI analyses involving associate disclosures related to outside activities, including certain Board positions, secondary employment, and personal financial investments
Monitor intake trends and metrics to identify emerging risks
Provide oral and written briefings for senior leadership, up to and including the Chief Ethics Officer
Establish and maintain strong working relationships with key partners across Compliance, Legal, Human Resources, and Risk Management
Prioritize among multiple tasks and responsibilities in a fast-paced environment, while maintaining collaborative relationships with various partners.

Bachelor’s Degree or military experience
At least 4 years of experience in Corporate or government Ethics, Government Regulatory Enforcement, Legal, Risk Management, or Compliance programs
Juris Doctorate preferred
3+ years of experience working in financial services; 1+ years of experience analyzing conflicts of interest and gifts and entertainment
Experience with ethics and compliance initiatives such as fostering an ethical culture and external benchmarking
Experience collecting, analyzing, and measuring process data to initiate sustainable business practices and procedures and to report to senior leadership and executives
Experience with Ethics programming and helplines or other investigation case management systems
Certified Compliance and Ethics Professional (CCEP) preferred.
Experience with program management, change management, or maintenance of program governance documents
Proficiency in the Google Suite
Google Docs, Slides, Sheets, Keep or Microsoft equivalent
Excellent written and verbal communication skills.

Performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI).
Comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.

Principal Associate, Compliance Specialist

Key skills