Licensing Compliance Job Description
Licensing compliance
provides guidance to company employees on export compliance issues, including, but not limited to interpretation and application of the Export Administration Regulations (EAR), International Traffic and Arms Regulation (ITAR), Office of Foreign Assets Control (OFAC) and other US export laws and regulations.
Licensing Compliance Duties & Responsibilities
To write an effective licensing compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included licensing compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Perform analysis on all relevant data associated with both the Dual Employed population the NMLS registered population
Review, interpretation and communication of FINRA regulatory rules and regulation firm policies
Oversight of the L&R function
Providing Compliance Advisory services to the LOB based on items identified through the L&R function, tangential items to L&R
Review Complaints generated from lines of business and provide guidance on remediation, escalate and facilitate with subject matter experts, when necessary
Maintain subject matter expertise of applicable laws and regulations
Perform and review control assessments executed by peers for accuracy and adherence to test procedures
Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements
Assist lines of business in the development and maintenance of the Compliance Program, such as how to monitor, report, and train
Support lines of business through expert advice, influence adjustments to the processes, procedures, and controls
Licensing Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Licensing Compliance
List any licenses or certifications required by the position: PAHM, TL9000, CSAT, ACAMS, AML
Education for Licensing Compliance
Typically a job would require a certain level of education.
Employers hiring for the licensing compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Business, Education, Finance, Legal, Management, Business/Administration, Law, Associates, Accounting, Child Development
Skills for Licensing Compliance
Desired skills for licensing compliance include:
Microsoft Office programs
But not necessary
DMV regulation helpful
DMV regulations helpful
MS Office Suite
Analysis
Aspects of the ITAR and the EAR
DDTC and industry-standard best practices
Established guidelines
Foreign national licensing
Desired experience for licensing compliance includes:
8+ years Compliance, Legal, HR, Business or related field or equivalent
Significant experience with Durable Medical Equipment/ Home Medical Equipment business operations and/or standards (DME/HME related billing experience a plus)
Significant years experience in healthcare-related compliance programs
Detailed working knowledge of federal health care program reimbursement systems, standards and associated rules and regulations
Detailed working knowledge of Anti-Kickback Statute, False Claims Act, Stark Law, State Licensing Regulations
Excellent leadership, presentation and collaboration skills
Licensing Compliance Examples
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Licensing Compliance Job Description
Job Description Example
Our innovative and growing company is looking for a licensing compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for licensing compliance
- Conduct targeted validations and reviews on controls over applicable regulations
- Perform UDAAP validations and reviews
- Active involvement with compliance testing and third party compliance
- Front line leadership of staff accountable for FINRA registration processing, along with related compliance and regulatory support processes
- Serve as Compliance Principal accountable for key FINRA U-4, U-5, Form BD, and/or other assigned FINRA Filings and processes
- Partner with Business Lines, USBI Supervision, and Compliance in monitoring and maintaining key process controls, and engage in process improvement opportunities
- Collaborate with Legal, Risk Management & Compliance, and other Stakeholders in providing interpretive guidance on FINRA registration, disclosure guidelines & rules and other various regulations
- Handle staff regulatory registrations with Hong Kong regulators
- Assisting on senior management registrations with the regulators, including HKMA EO/CE/ACE/Directors/Managers and SFC RO
- Assisting on the monitoring of CPT records and reporting
Qualifications for licensing compliance
- At least 3 years of Investment Licensing and Registration experience
- At least 5 years of experience in compliance, or at least 5 years of experience in legal, or at least 5 years of experience in audit
- 7 years of experience in compliance, or 7 years of experience in legal, or 7 years of experience in audit
- CRCM, or ACAMS, or CIPP certifications
- Responsible for preparation and submission of all types of license applications (DSP-5, DSP-61 DSP-73, ), agreements, requests for authorization and other submissions to the Directorate of Defense Trade Controls (DDTC)
- Coordinates closely with Business Development and other business teams to communicate and to follow appropriate processes to ensure the proper submission, use and administration of DDTC licenses, agreements, exemptions and other authorizations
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Licensing Compliance Job Description
Job Description Example
Our company is growing rapidly and is hiring for a licensing compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for licensing compliance
- General record keeping and administration on internal and external platforms
- Handle enquiries from business lines in regards to licenses
- Be a member of the Quality Planning & Strategy (QP&S) Licensing & Acquisition (L&A) group in BioResearch Quality & Compliance (BRQC) Janssen
- Will lead and coordinate with key business partners the process for quality review and input during due diligence, post-signing assessment and integration activities for GxP aspects of cross-pharma L&A, mergers and acquisition (M&A), and out licensing opportunities
- Function as a member of cross-functional due diligence teams led by Janssen Business Development (JBD) to lead and coordinate GLP, GCP and medical safety compliance assessment activities with business partners & interface with JBD/Scientific Licensing project leads to report potential quality risks for consideration during L&A or M&A
- Lead cross-GxP initiatives to enhance the overall Pharma L&A support strategy as assigned by the Head of Licensing & Acquisition in support of L&A End to End strategy
- Review and provide BRQC Janssen input for L&A, M&A, and out-licensing contract negotiations as part of the Janssen Business Development team to assure quality language is included to allow for appropriate mitigation activities post signing
- Having and maintaining an understanding of legal terminology, the firm's procedures and corporate structure
- Prepare and submit required license applications and agency reports on behalf of the company’s healthcare facilities
- Conduct legal research of state and federal statutes and regulations in support of company initiatives, culminating in clear and concise written reports of findings
Qualifications for licensing compliance
- Establishes export licensing metrics
- Identifies reporting requirements and ensures accurate and timely submission
- Tracks and maintains current status on provisos, conditions, reporting and other compliance requirements under DDTC licenses, agreements and approvals
- Assists in developing and implementing procedures, desk instructions and compliance tools designed to achieve full compliance with the ITAR and other applicable export controls
- Reviews international orders and shipments and provides guidance, as necessary to ensure conformity to licensing and other ITAR compliance requirements
- Presents export compliance training to a variety of audiences, as required
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Licensing Compliance Job Description
Job Description Example
Our company is growing rapidly and is hiring for a licensing compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for licensing compliance
- Develop and maintain good working relationships with representatives of various state and federal regulatory agencies
- Participate in periodic group training sessions
- Have a solid understanding of the end to end Registration / Certification / Designations process across FCA, Exchanges and cross border designations
- Effective targeting and prioritization of client compliance prospects within assigned territory
- Establish cadence with Sales Management to educate, prioritize and list manage opportunities
- Collaboratively develop and execute plan with Sales to address compliance
- Knowledge of the rules and requirements applicable to FINRA, SEC and NFA
- Process compliance onboarding documents, fingerprinting, and access requests
- Performs routine compliance tasks and deals with routine compliance issues, typically concerning documentation, reporting, May assist in monitoring regulatory issues
- Analyzes issues and uses judgment to make decisions and escalates non-standard problems or issues
Qualifications for licensing compliance
- Assists in supporting internal and external audits and in tracking and closing of any resulting corrective actions
- Other duties may be assigned, including preparation and submission of license applications to the Bureau of Industry & Security, U.S. Department of Commerce, in accordance with the EAR
- Bachelor’s degree in International Relations/Business or associated discipline
- Requires minimum of 7 – 10 years of experience in a global company working within an ITAR licensing and compliance program, preferably related to Category XII of the U.S. Munitions List
- Requires strong attention to detail, solid analytical/problem solving skills and experience in advising global business operations on ITAR licensing and compliance requirements
- Requires demonstrated success in working with DDTC, DTSA and other Government agencies on a wide range of licensing and compliance issues
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Licensing Compliance Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of licensing compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for licensing compliance
- Self compose all communications externally/internally
- Renewing existing liquor licenses and/or operational permits
- Resolving liquor license violations and/or operational permit violations
- Assisting management team with liquor licensing and/or operational permit aspects of special events
- Other related licensing matters that may arise
- Research and stay apprised of new and existing governmental regulations and restrictions governing the sale and use of alcoholic beverages, rules in each jurisdiction regarding happy hour, serving hours, age restrictions
- Accountable for the development and the results of a designated team and processes within the Licensing and Compliance Area
- Provide oversight and leadership of operational execution to ensure efficient and effective delivery of services for our clients and internal customers
- Act as a steward of the organization’s financial results by improving efficiency to reduce the cost-to-serve and working with partners to develop new revenue streams
- Respond to client feedback or concerns and take the necessary action to resolve them
Qualifications for licensing compliance
- Supervisory or management experience in financial services industry, broker-dealer operations, or compliance
- Experience in a legal environment preferably in trademark searches for federal and Washington state, registration, maintenance and protection
- Familiarity with NGO’s involved with workers’ rights and international production
- Experience in an institutional trademarks and licensing program in a university environment
- Thorough understanding of the Microsoft Office Suite including Word, Excel, Outlook Express, and PowerPoint with strong Access database skill
- Ability to demonstrate a pattern of behavior in the workplace that includes the qualities of adaptability, diversity awareness, teamwork, and ethical conduct
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Licensing Compliance Job Description
Job Description Example
Our innovative and growing company is hiring for a licensing compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for licensing compliance
- Interact with clients to support the sales and customer service efforts of the organization
- Review, analyze, and document events requiring regulatory reporting and disclosure
- Understand SEC, MSRB, FINRA, NFA, individual state insurance registration and reporting requirements
- Review, analyze, and document issues pertaining to associate securities registrations, criminal, and financial events relative to requirements of multiple regulatory authorities and applicable state jurisdiction requirements/statutes (up to 53 jurisdictions)
- Ensure comprehensive, accurate and timely reporting is made within regulatory reporting standards
- Pre-filing activity requires issue identification, data collection, and may involve associate or business consultation
- Responsible for analyzing case by case situations and determining the filing needed
- Provide consultation and guidance to business partners on emerging issues
- Provide timely and accurate communication regarding licensing and registration changes based on new regulatory requirements and business organizational changes
- Provide education/training to business partners and individual associates as needed to ensure compliance and risk avoidance
Qualifications for licensing compliance
- Excellent communications skills – verbal and written – with a wide variety of individuals
- 5-8 years of direct experience with state licensing activities & DEA compliance is preferred
- Requires 2+ years of strong PC skills and extensive experience with MS Office Word, Excel, PowerPoint and Outlook
- 2-5 years of experience with State Board of Pharmacy regulations and have a thorough knowledge and understanding of the licensing requirements
- Up to 25% travel to CMO’S
- 2-4 years of business experience is highly preferred