- Wells Fargo (Charlotte, NC)
- …for growth opportunities in an assigned market + Ensure adherence to compliance regulations and policies + Perform research within Business Growth Strategy ... Security and Retirement Income Strategy + North Carolina State Insurance license (s) + Retirement Income Certified Professional (RICP) and Certified Retirement… more
- Wells Fargo (Charlotte, NC)
- …tactical projects and contribute to business growth strategy initiatives + Ensure compliance with regulatory and internal policy requirements + Track and report on ... 63 or Series 66 + North Carolina State Insurance License + Retirement Income Certified Professional (RICP) or Certified...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
- Wells Fargo (Philadelphia, PA)
- …partnerships with all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management + Execute on ... screening, if necessary + US only: Obtaining and/or maintaining appropriate FINRA license (s) is required for ongoing employment in this position. FINRA Series 9… more
- State of Massachusetts (Boston, MA)
- …and Prosecutions, regarding complaints against licensees. * Make recommendations for license reinstatement applications, based on licensee compliance with the ... licensing laws. DOL oversees 26 boards of registration, which license and regulate more than 500,000 individuals and businesses...keepers of records for the Unit and must ensure compliance with state and federal laws, including the state… more
- HCA Healthcare (Round Rock, TX)
- …ongoing quality improvement process to improve patient care. This position ensures compliance with the accreditation standards and collects and reports data to ... do in this position: . Perform daily concurrent chart review to ensure compliance with evidence-based program measures for Stroke. . Ensure all data reporting… more
- Commonwealth of Pennsylvania (PA)
- …You must be in possession of an active non-commercial Pennsylvania Class C driver's license or equivalent. + You must obtain CLEAN certification within two months of ... background investigation and meet Criminal Justice Information Services (CJIS) compliance requirements. + A conditional offer of employment requires...rules apply. 01 Do you possess a current driver's license which is not under suspension? + Yes +… more
- Wells Fargo (Rochester, NY)
- …and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with ... FINRA registration **Desired Qualifications:** + Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues… more
- AeroVironment (Simi Valley, CA)
- …team. This role is responsible for driving financial integrity and compliance across segment-level operations, including oversight of revenue recognition, cost ... timely financial reporting. Primary Success Factors + **Accuracy & Compliance ** : Zero significant audit findings, consistent adherence to...or a person to be approved for an export license by the governing agency whose technology comes under… more
- Wells Fargo (New York, NY)
- …Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other ... projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures + Be responsible for execution of various… more
- Louisville/Jefferson County MSD (Louisville, KY)
- …practices that reduce risk of injury into operational procedures. Monitors for compliance and provides enforcement when necessary. Essential Job Functions Health and ... and continually updating MSD's Health and Safety Program to assure compliance with local, state and federal regulations. Reviews, researches and implements… more