Director Wealth Financial Operations

3 weeks ago


Raleigh, United States CareerBuilder Full time

Overview

This position is responsible for all finance functions within the Wealth Management department of the Bank. Oversees functions including First Citizens Investor Services Broker/Dealer and RIA, First Citizens Asset Management RIA, SVB Wealth, LLC, Private Wealth Advisory Services, Institutional Advisory Services, and the Private Client Group. Ensures timely financial regulatory filings with all regulatory agencies. Manages external audit relationships with the Bank's public accounting agency, FINRA and the SEC. Directs accounting, budgeting, and incentive compensation to ensure the financial accuracy and cost-effectiveness of department operations.

Responsibilities

Financial Oversight - Manages all financial information for the Investor Services Broker/Dealer, the FCAM RIA and SVB Wealth, LLC RIA, including the company's income statement and balance sheet. Prepares, approves, and submits compliant financial regulatory reports to the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC). Responds to inquiries from regulators regarding the filings. Oversees the annual budget process and external audit.
Financial Review - Develops and maintains systems that increase efficiencies, regulatory compliance, and accuracy in financial processes. Ensures correct receipt of commissions, revenue and expense accounting, preparation of incentive-based payroll, and revenue allocations to branches and affiliates.
Business Strategy - Identifies and recommends strategies for improving the financial performance of the Wealth Management division. Provides analytical information to executive management that allows for crucial business insight. Leads projects that involve business analysis, strategic planning, and product pricing.
Managerial Functions - Establishes and monitors expectations to achieve company and department goals. Makes appropriate changes to team policies, procedures, and efficiencies in order to meet objectives. Manages the performance, training, and evaluation of assigned staff.
Vendor Management - Oversees the relationship between Investor Services and EAI Information Systems, Inc. regarding the software system and database. Negotiates pricing and assists in problem-solving. Plans and approves system changes in collaboration with vendor.

Qualifications

Bachelor's Degree and 10 years of experience in Brokerage Finance (Broker/Dealer), Registered Investor Advisors (RIA) OR High School Diploma or GED and 14 years of experience in Brokerage Finance (Broker/Dealer), Registered Investor Advisors (RIA)

License or Certification Type: Finance and Operations Principal Series 27, 7, 63, and 24 Required, Series 53, 65/66 Preferred

Skill(s): Knowledge of accounting, securities industry rules and regulations, and computer programming logic
#J-18808-Ljbffr



  • Raleigh, United States William Pace University Full time

    The Assistant Director of Financial Aid will support financial aid operations in all aspects of the application, awarding, delivery, and reconciliation of federal, state, and institutional financial aid in accordance with all policies, procedures, an Director, Financial, Assistant, Internal Auditor, Technology, Education


  • Raleigh, United States Calyx Senior Living Full time

    At Carillon Assisted Living , a Raleigh-based company in the business of building and operating assisted living communities, our team works together to make a positive impact on the lives of seniors in North Carolina. Our locally owned and operated business has opened its first community, with the next two scheduled to open or under development, and is...


  • Raleigh, United States WakeMed Full time

    Job DescriptionAbout WakeMed:Serving the community since 1961, WakeMed Health & Hospitals is the leading provider of health services in Wake County. With a mission to improve the health and well-being of our community, we are committed to providing outstanding and compassionate care. For more information, visit www.wakemed.org.EOEPosition Information:The...


  • Raleigh, United States WakeMed Full time

    About WakeMed:Serving the community since 1961, WakeMed Health & Hospitals is the leading provider of health services in Wake County. With a mission to improve the health and well-being of our community, we are committed to providing outstanding and compassionate care. For more information, visit www.wakemed.org.EOEPosition Information:The Director Financial...


  • Raleigh, United States WakeMed Full time

    About WakeMed:Serving the community since 1961, WakeMed Health & Hospitals is the leading provider of health services in Wake County. With a mission to improve the health and well-being of our community, we are committed to providing outstanding and compassionate care. For more information, visit www.wakemed.org.EOEPosition Information:The Director Financial...


  • Raleigh, United States Shaw University Full time

    for a Director of Financial Aid. The Office of Financial Aid has a significant impact on the image, recruitment, and retention imperatives of Shaw University. As the leader of Financial Aid, the Director of Financial Aid provides high-level leadership for a core function of the enrollment management area, and contributes to an improved student experience...

  • Financial Advisor

    4 days ago


    Raleigh, United States Atria Wealth Solutions Full time

    Through its relationship with CUSO Financial Services, L. P. (CFS) Coastal Federal Credit Union is seeking a Financial Advisor to provide retirement and investment services to its member base in the Raleigh, NC area. As Coastals Financial Advisor, you'll have the opportunity to use your sales talents and ability to build rapport as you work with our members...

  • Financial Advisor

    2 weeks ago


    Raleigh, United States Atria Wealth Solutions Full time

    Job DescriptionJob DescriptionThrough its relationship with CUSO Financial Services, L. P. (CFS) Coastal Federal Credit Union is seeking a Financial Advisor to provide retirement and investment services to its member base in the Raleigh, NC area.As Coastal’s Financial Advisor, you'll have the opportunity to use your sales talents and ability to build...


  • Raleigh, United States Carillon Assisted Living Full time

    Job DescriptionJob DescriptionRegional Director of OperationsAt Carillon Assisted Living, a Raleigh-based company in the business of building and operating assisted living communities, our team works together to make a positive impact on the lives of seniors in North Carolina. Our locally owned and operated business has opened its first community, with the...


  • Raleigh, United States Medical Mutual Holdings Full time

    Title Senior Financial Accountant Location Remote About Us Curi is a full-service advisory firm that serves physicians and medical practices. Equal parts fierce physician advocates, smart business leaders, and thoughtful partners, Curi's advisory, capital, and insurance offerings deliver valued advice that is grounded in client priorities and elevated by...


  • Raleigh, United States First Citizens Bank Full time

    Overview: The Senior Wealth Underwriter underwrites and evaluates retail credit loan applications from Bank branches at a higher level of complexity. Reviews applications predominantly from real estate secured transactions to determine risk and creditworthiness. Provides guidance to sales associates on loan decisions and structure, ensuring retail credit...


  • Raleigh, United States Curi Full time

    Title Senior Financial Accountant Location Remote About Us Curi is a full-service advisory firm that serves physicians and medical practices. Equal parts fierce physician advocates, smart business leaders, and thoughtful partners, Curi's advisory, capital, and insurance offerings deliver valued advice that is grounded in client priorities and elevated by...


  • Raleigh, United States Longwood University Full time

    You are viewing a preview of this job. Log in or register to view more details about this job. The Associate Financial Advisor provides specialized services to an individual Financial Advisor (with annualized gross production of greater than $1 million) or Baird Qualified Team (with average per FA production of at least $750,000) to assist in their ability...


  • Raleigh, United States Creative Financial Staffing Full time

    CFS has partnered with a well-respected, long-standing construction company located in Raleigh. Our client is seeking a full-time CFO to be a key member of the executive team and take on a strategic role in the growth and management of the company. Why work here? The Company: Humble family beginnings that expanded into NC in the mid 80's - almost 80 years...


  • Raleigh, United States North Carolina State University Full time

    Duties and responsibilities of this position include, but are not limited to:Financial Aid Responsibilities: Serve as the primary liaison with the NC State Office of Scholarships and Financial Aid, and ensure athletic financial aid is awarded in acco Director, Financial, Athletic, Compliance, Monitoring, Commercial Driver, Business Services

  • Financial Controller

    2 weeks ago


    Raleigh, United States Career Collective Full time

    FINANCIAL CONTROLLER JOB OVERVIEW Full-time Financial Controller to oversee accounting and financial aspects for a local Architecture firm. An employee in this role should be passionate about accounting and maintaining accurate financial statements for company leadership. Reports to the Director of Operations. RESPONSIBILITIES AND DUTIES Oversees and...

  • Financial Controller

    3 weeks ago


    Raleigh, United States Career Collective Full time

    FINANCIAL CONTROLLER JOB OVERVIEW Full-time Financial Controller to oversee accounting and financial aspects for a local Architecture firm. An employee in this role should be passionate about accounting and maintaining accurate financial statements for company leadership. Reports to the Director of Operations. RESPONSIBILITIES AND DUTIES • Oversees and...

  • Financial Controller

    3 weeks ago


    Raleigh, United States Career Collective Full time

    FINANCIAL CONTROLLER JOB OVERVIEW Full-time Financial Controller to oversee accounting and financial aspects for a local Architecture firm. An employee in this role should be passionate about accounting and maintaining accurate financial statements for company leadership. Reports to the Director of Operations. RESPONSIBILITIES AND DUTIES • Oversees and...


  • Raleigh, United States Catalyst Clinical Research, LLC Full time

    Job Description Job Description Position Summary: The Director, Financial Planning & Analysis is responsible for accurate financial reporting and insightful financial analysis for Catalyst and its affiliated companies. The position is integral to the accuracy of overall company financial results and acts as a key partner to leadership to support strategic...


  • Raleigh, United States Catalyst Clinical Research LLC Full time

    Job DescriptionJob DescriptionPosition Summary: The Director, Financial Planning & Analysis is responsible for accurate financial reporting and insightful financial analysis for Catalyst and its affiliated companies.  The position is integral to the accuracy of overall company financial results and acts as a key partner to leadership to support strategic...