- 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
- State of Colorado (Teller County, CO)
- …in Colorado Casinos. + Actively patrolling Colorado casinos. + Conducting regulatory investigations regarding statutes, rules and internal controls. + Conducting ... Colorado Revised Criminal Statutes, and conduct comprehensive background and pre- licensing investigations. This position plans and conducts investigations of… more
- Wells Fargo (Charlotte, NC)
- …to 5% of the time + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license (s) is required for ongoing employment in ... and contribute to business growth strategy initiatives + Ensure compliance with regulatory and internal policy requirements + Track and report on key performance… more
- Wells Fargo (Philadelphia, PA)
- …management or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 63 examinations (or FINRA ... as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary + US only: Obtaining… more
- Sallie Mae (Sterling, VA)
- …of digital advertising ecosystems and proven track record in data commercialization and licensing . + Familiarity with regulatory and self- regulatory (IAB, ... the strategic direction of our digital advertising technologies, data licensing and commercialization initiatives, and intellectual property portfolio. As a… more
- Bloomberg (New York, NY)
- …a wide range of financial data. Whether it's ESG, Company, Pricing, Corporate Actions, Regulatory or Reference Data, Data License is the one-stop-shop for our ... Senior Software Engineer - Data License Bulk Location New York Business Area Engineering...and Comdb2? Then we want you in the Data License Bulk team at Bloomberg! Bloomberg Enterprise Data provides… more
- State of Massachusetts (Boston, MA)
- …position shall include, but not be limited to, supervising and reviewing the licensing activities relating to entities wishing to serve as Pharmacy Benefit Managers ... financial analysts and administrative staff in the Financial Surveillance and Company Licensing Unit (FSU). The SFA oversees the review and approval/disapproval of… more
- Wells Fargo (Rochester, NY)
- …through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with Financial Advisors, ... military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 66 examinations (or FINRA… more
- State of Michigan (MI)
- …journeyperson or elevator contractor's license issued by the Michigan Department of Licensing and Regulatory Affairs? If so, please provide your license ... Full Time Remote Employment Flexible/Hybrid Job Number 6401-23-BCC-054 Elevator Insp Department Licensing and Regulatory Affairs - LARA Opening Date 02/13/2025… 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