Job Abstract

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Regular or Temporary:

Language Fluency:  English (Required)

Work Shift:

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

1. Engage in risk management activities with the line of business, proactively identifying existing and emerging risks, evaluating the significance of the risks, and providing support in managing acceptance or mitigation of the identified risks through day-to-day review of brokerage account transactions.

2. Lead a team of Regional Supervisors responsible for executing the responsibilities of various operations and enterprise risk programs in accordance with the program requirements (Ie: Risk control self-assessments, issues management, trade supervision and annuity review).

3. Assist business line leadership with identifying, assessing, controlling, mitigating, and communicating risks associated with business processes and decisions. Provide oversight and governance to the assigned business unit regarding its control environment.

4. Support the business in the development of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs) in partnership with Supervision Leadership.

5. Provide risk management support and oversight for change activities (both business and regulatory change).

6. Provide oversight and support for open risk, audit, and regulatory issues. Evaluate the root cause, the corrective action plans and work with business partners and GCO advisor team to successfully implement and document remediation.

7. Support the business and the GCO governance & reporting team for all audit and regulatory exam engagements.

8. Communicate with assigned business unit’s leadership regarding activities, trends, and events pertaining to risk, regulatory, audit activities. Promote various risk initiatives and their supporting metrics.

9. Work alongside the GCO Risk Program Execution team in executing and supporting all risk program activities as defined in policy and procedure(s).

10. Coach and develop Regional Supervisor teammates within the GCO Centralized Supervision Group.

11. Complete ongoing Quality Assurance reviews within the Supervision Group

12. Serve as an escalation point of contact for Principal Managers and Business Partners with regard to Supervisory activities including but not limited to communications with the public, transaction review, complex products including annuities and trade review and correction requests.

Required Qualifications:

The requirements listed below are representative of the knowledge, skill and/or ability required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

1. FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu of 4 and 53.  Series 63&65 can be used in lieu of Series 66)

2. Life/Health and Variable Insurance Licensing

3. 7 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance

4. Must have exceptional industry disciplinary history

5. Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group

6. Solid decision-making and judgment capabilities

7. Sound investigative skills and ability to follow up and manage cases

8. Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations

9. Strong organizational skills and the ability to multi-task

10. Strong understanding of Human Resources

11. Strong team building skills

Preferred Qualifications:

1. Bachelor’s degree in Finance or Business

2. Minimum 2 years of regulatory experience

3. FINRA Series 4 license 

General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist’s generous benefit plans, please visit our Benefits site. Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.

Truist supports a diverse workforce and is an Equal Opportunity Employer that does not discriminate against individuals on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Truist is a Drug Free Workplace.

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