- Wells Fargo (Albany, NY)
- …advisors, expense management and other initiatives + Assist in compliance, regulatory , and administrative issues relating to the market + Develop relationships ... understand policies and procedures, brokerage operations standards and governing bodies regulatory roles and regulations + Collaborate and consult with peers,… more
- SUNY Geneseo (Geneseo, NY)
- …source documents to ensure accuracy and compliance with program and regulatory requirements. + Generate analytical reports summarizing licensing activity, ... this role, you'll ensure the accuracy and integrity of IDS Network's licensing , membership, and related databases by applying data quality controls, developing and… more
- Neuberger Berman (New York, NY)
- …registered representatives and investment advisers + Experience supporting audits and regulatory examinations related to registration and licensing \#LI-MB1 ... day-to-day processing of registration information to ensure compliance with US regulatory requirements. This role involves supporting new hires and current employees… more
- City of New York (New York, NY)
- …enhances program quality and operational efficiency across youth services programs. Regulatory Compliance & Licensing Support: Assist in maintaining accurate ... that all program operations and professional development initiatives align with regulatory compliance standards, including those set forth by the Department of… more
- TD Bank (Mineola, NY)
- …service and advice activities and/or solutions while maintaining compliance and regulatory guidelines + Closely monitors workflows for the teller team and ... intake so must maintain an active registration status with NMLS (Nationwide Mortgage Licensing System and Registry) + Leads, develops and coaches the team on… more
- TD Bank (Ossining, NY)
- …service and advice activities and/or solutions while maintaining compliance and regulatory guidelines + Leads the team in overseeing the most complex ... and decision-making skills + Shows proficiency with expense management + Notary License (Preferred) + Must maintain an active registration status with NMLS upon… more
- Westside Federation for Senior Supportive Housing (New York, NY)
- …will be eligible to apply for their LCSW. Similarly, WSFSSH will cover testing and licensing fees to obtain the clinical license , and when LCSW is obtained, ... WSFSSH strongly supports MSW level social workers obtaining their licensing . We offer study groups for staff who are...will cover the cost of CEUs to maintain the license . Responsibilities + Assist residents in obtaining and maintaining… more
- City National Bank (New York, NY)
- …be in good standing under "The Secure and Fair Enforcement for Mortgage Licensing Act of 2008" (Safe Act) and must be registered/licensed with the "Nationwide ... Mortgage Licensing System and Registry"; or must be able to...of loan transactions, ensures conformance with Bank policy and regulatory requirements. Exercises sound credit and risk judgment in… more
- City National Bank (New York, NY)
- …Must be in good standing under "The Secure and Fair Enforcement for Mortgage Licensing Act of 2008" (Safe Act) and must be registered/licensed with the "Nationwide ... Mortgage Licensing System and Registry"; or must be able to...and Credit policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client,… more
- The Rare Wine Co. (Brooklyn, NY)
- …compliance with all alcohol beverage regulations, including managing alcohol beverage licensing , overseeing federal and state regulatory filings, and ... Filings: Prepare, submit, and track federal and state regulatory filings for sales and operations. Licensing ...state regulatory filings for sales and operations. Licensing Management: Obtain and renew alcohol beverage licenses across… more
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