Wealth Management Financial Oversight Manager

3 weeks ago

Holly Springs, United States First Citizens Bank Full time

This position is responsible for overseeing all finance functions within the Wealth Management department of a bank. This includes managing First Citizens Investor Services, Private Wealth Advisory Services, Institutional Advisory Services, and the Private Client Group. The manager ensures timely financial regulatory filings with all regulatory agencies and manages external audit relationships with the bank's public accounting agency. Responsibilities also include directing accounting, budgeting, and incentive compensation to ensure financial accuracy and cost-effectiveness of department operations.

Responsibilities:

  • Manage all financial information for Investor Services, including the company's income statement and balance sheet. Prepare, review, and approve compliant financial regulatory reports to regulators including the Financial Industry Regulatory Authority and the U.S. Securities and Exchange Commission. Respond to inquiries from regulators regarding the filings. Support the annual budget process and external audit. Ensure timely, accurate, and complete, responses to all audit and regulatory exam requests.
  • Develop and maintain processes that increase efficiencies, regulatory compliance, and accuracy in financial reporting. Ensure correct receipt of commissions, revenue and expense accounting, preparation of incentive-based payroll, and revenue allocations to branches and affiliates.
  • Identify and recommend strategies for improving the financial performance of the Wealth Management division. Provide analytical information to executive management that allows for crucial business insight. Lead projects that involve business analysis, strategic planning, and product pricing.
  • Establish and monitor expectations to achieve company and department goals. Make appropriate changes to team policies, procedures, and efficiencies in order to meet objectives. Manage the performance, training, and evaluation of assigned staff.
  • Play a critical role in developing and maintaining productive vendor relationships. Negotiate pricing and assist in problem-solving. Plan and approve changes in collaboration with vendors and partners.

Qualifications:

Bachelor's Degree and 8 years of experience in Brokerage Finance OR High School Diploma or GED and 12 years of experience in Brokerage Finance and general accounting. A series of Finance and Operations Principal licenses or certifications are preferred. People management experience is also preferred. Skills required include knowledge of accounting, securities industry rules and regulations, and computer programming logic.

First Citizens benefits programs are designed to meet our associates where they are in life. Full-time associates (20+ hours) are offered a comprehensive benefits program, with customized offerings, including those designed to support families, however defined. More information regarding our benefits offerings can be found on our website.

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