Broker Dealer and Investment Advisor – Lending Manager

Financial Planning and AnalysisFinancial Planning and AnalysisFull TimeRemoteTeam 5,001-10,000Since 1922H1B SponsorCompany SiteLinkedIn

Location

Minnesota

Posted

6 days ago

Salary

$114.7K - $155.2K / year

Bachelor Degree8 yrs expEnglish

Job Description

• Design, oversee, and enhance advisor lending programs including recruiting, retention, transition, and succession loans • Establish governance, policies, approval frameworks, and controls Align lending programs with firm strategy and risk appetite • Serve as primary liaison with Legal and Compliance • Ensure compliance with applicable federal, state and self-regulatory organization rules and regulations related to lending, including FINRA Rule 3240 • Lead audit and exam preparation related to lending programs • Monitor regulatory changes and recommend program updates • Oversee underwriting standards and credit reviews • Monitor loan portfolio health, concentrations, and repayment performance • Lead escalation, remediation, and recovery efforts • Ensure effective loan administration, documentation, and controls • Partner with Finance on accounting, accruals, reserves, and write-offs • Drive operational efficiency and scalability • Act as a trusted advisor to leadership and field management • Support recruiting and retention strategies • Communicate clearly with advisors regarding loan terms and obligations • Provide executive-level reporting on loan balances, risk, and ROI • Deliver insights to support strategic decision-making

Job Requirements

  • Bachelor’s degree in Finance, Business, Accounting, or related field
  • 8+ years of experience in broker-dealer finance, operations, risk, compliance, or advisor lending
  • Strong knowledge of FINRA rules and broker-dealer and investment advisor regulatory frameworks
  • Experience influencing senior leaders
  • FINRA Series 7, and 24 or 27 required or obtained within 90 days of hire/transfer
  • Strong independent judgment and risk management capability
  • Executive communication and stakeholder management skills
  • High attention to detail with strategic perspective
  • Ability to operate effectively in a regulated environment

Benefits

  • various bonuses (including, for example, annual or long-term incentives)
  • medical, dental, and vision insurance
  • health savings account
  • flexible spending account
  • 401k
  • pension
  • life and accidental death and dismemberment insurance
  • disability insurance
  • supplemental protection insurance
  • 20 days of Paid Time Off each year
  • Sick and Safe Time
  • 10 paid company holidays
  • Volunteer Time Off
  • paid parental leave
  • EAP
  • well-being benefits
  • other employee benefits

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