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We provide a diversified set of banking, investment and mortgage products and services, as well as consumer and commercial finance, through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management.
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Collaborates with internal business partners to provide a broad range of wealth products and services including; financial planning, asset management, personal trust and estate planning, insurance and risk management services, consumer and mortgage credit, and general banking services.
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Implement and maintain analytical reports across a wide variety of subjects such as credit risk, counterparty risk, foreign exchange risk, and liquidity risk across the enterprise including bank, broker dealer, and mortgage subsidiaries.
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Manages multiple tasks and deadlines including proper KYC guidelines, call reporting, book of business management and maintenance, and manages all elements of risk and compliance needs for the book of business, and utilizing all the tools are resources available to continuously enhance their skill set and improve their performance.
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Coordinate with various departments within DTCC on internal and external initiatives, including the various groups within the Group Chief Risk Office, General Counsel’s Office, Operations, Product Management, Treasury/Finance, Relationship Management, Compliance and others.
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Requires 0 – 3+ years of fixed income mortgage trading, portfolio, or risk management experience. Knowledge of proprietary mortgage risk management, valuation analytics, and account management.
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The Compliance Advisor Senior Manager will work independently from the CBD Chief Compliance Officer to manage a team of associates (registrations and licensing professionals and a compliance advisor) who interact with and advises the CBD LOBs on the need for and effective methods of managing compliance risk arising from federal and state laws and regulations, within an enterprise-level risk management framework.
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Capture, maintain and analyze Business Area compliance data and interpret to ensure a consistent and adequate Compliance Risk Management. This role will serve as the Deputy Commercial Broker Dealer Compliance Officer supporting three institutional FINRA registered broker dealers and additionally providing a compliance support role for the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary.
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Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior Manager. Experience with fixed income (asset backed securities including commercial mortgage backed securities) and equity trading.
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Additionally, all employees are obligated to become familiar with Home’s risk management framework and understand the operational risk management requirements within their specific business.
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We are looking for a motivated individual to fill the role of a Financial Advisor for Regions Wealth Management located at Regions Bank in Orlando, Florida. Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide.
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Responsibilities: Partner with high energy, high performing project teams to work on internal audit engagements within the financial services industry, including regulated financial institutions, fintech companies, mortgage companies, broker dealers and investment companies.
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The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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At Regions, the Private Wealth Management Advisor develops and maintains a portfolio of client relationships within the defined affluent and high net worth market segments utilizing unbiased, consultative advisory approaches and sound personal financial planning and financial advisory concepts.
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D) Assist the SLT in efficiently managing the transaction cycle through final credit approval, documentation, closing and initial funding of the transaction ensuring timely coordination with all parties involved including Credit Risk Management ("CRM") team, FA, Private Bankers (PBs"), Loan Operations, Compliance, In-house Counsel and any other party who is, or should be, involved in the specific transaction.
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