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Four or more years of experience as an attorney with a law firm or in-house at a financial institution, including specific experience the following areas: corporate private placements and issuer due diligence; ABS, RMBS and CMBS securitizations, Mortgage warehousing transactions, derivatives documentation / transactions.
$130,795.52 - $217,992.53 a yearFull-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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This role will report to the Director, DEI, and will work with the DE&I team to drive growth strategies sought at advancing DEI goals internally and externally at Anywhere while expanding our diverse agent and broker network throughout all of our brands, including Better Homes & Gardens Real Estate, Century 21 Real Estate, Coldwell Banker, Corcoran, ERA Real Estate and Sothebys International Realty.
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An independently owned mortgage brokers linked to one of the best-known networks in the UK require an experienced mortgage broker or mortgage adviser to work from home or from a local estate agency in the Basingstoke area on an employed or self-employed basis, with all leads provided offering the ability to bank £10k – £20k per month.
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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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As a family-owned mortgage broker, we. Serve as the main point of contact for title companies, real estate agents, mortgage loan officer/ mortgage loan originator, borrowers, and mortgage underwriters to facilitate a timely loan closing.
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You will provide debt guidance for industrial, office, hotel, self-storage, retail and multifamily investment/sales team pitches; Participate on sales and underwriting calls with potential borrowers and manage lender/client correspondence in the event the broker is unavailable.
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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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Experience as a licensed Mortgage Broker with excellent knowledge of mortgage brokerage, real estate agent loan purchase services, debt consolidation, and finance. This is a full-time on-site role for a Licensed Mortgage Broker at Keller Williams Realty Evolution and Lendizen Mortgage located in Beverly, MA. The Licensed Mortgage Broker will be responsible for day-to-day tasks associated with mortgage brokerage, interacting and establishing loan capture rate with our agents, debt consolidation, mortgage marketing, and finance.
Full-timeExpandApply NowActive JobUpdated 24 days ago - UpvoteDownvoteShare Job
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Performs initial contact to prospect new mortgage brokers/bankers and coordinate broker approval process. In addition, the Wholesale Account Executive manages established broker relations including broker approvals, education, customer service and quality management regarding process, product and technology.
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The associate will conduct research on equity and fixed income markets with respect to potential systemic risks, with an emphasis on DTCC-eligible securities such as equities, Treasury securities, mortgage-backed securities, municipal bonds, high-yield corporate bonds, asset-backed securities, and agency securities in addition to supporting the team's maintenance of a suite of macroeconomic hypothetical stress scenarios as part of the company's stress testing program.
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The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. At least 7 years of experience working in compliance, legal, audit, operations, or finance within financial services OR at least 7 years of experience with a regulator overseeing broker dealers or investment advisers.
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Living in the Leeds area and working from home, the mortgage broker or mortgage adviser will receive the leads on a day-to-day basis. Its down to the experience of the home-based mortgage broker or mortgage adviser living in the Halifax area, to qualify the leads and in some cases obtain an AIP, before arranging a convenient time for you and the clients to complete the mortgage application.
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Assists in compiling any Commercial Mortgage Broker approval package, including SAMS verification, for Chief Credit Officer approval. Assists in compiling any Commercial Mortgage Broker approval package, including SAMS verification, for Chief Credit Officer approval.
Full-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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The broker dealers being supported include Capital One Securities, Inc., KippsDeSanto & Co., TripleTree, LLC. (collectively "Commercial Broker Dealers" or "CBDs"). Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element CE, email surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales.
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