The Central Supervisor 2 will work closely with Truist Financial Advisors, CSAs, Regional Support Managers and Regional Directors and other registered personnel. The individual will be a member of a team which functions as the designee of the Principal Manager and performs administrative supervisory functions that are routinely associated with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and accepta... more details
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Regular or Temporary:
Regular
Language Fluency: English (Required)
Work Shift:
1st shift (United States of America)
Please review the following job description:
The Central Supervisor 2 will work closely with Truist Financial Advisors, CSAs, Regional Support Managers and Regional Directors and other registered personnel. The individual will be a member of a team which functions as the designee of the Principal Manager and performs administrative supervisory functions that are routinely associated with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and acceptance of new accounts introduced to the firm, money movement, financial plans, and communication with the public. Responsible for following regulatory policy as a Registered Principal for the firm. The Central Supervisor 2 role will perform quality control review and identify training needs.
Please note: This role can be based anywhere in the Truist footprint. This role is 3 days onsite and 2 days remote.
ESSENTIAL DUTIES AND RESPONSIBILITIES
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. Thorough review of new accounts, legal documents and working knowledge of AML requirements including knowledge of Beneficial Ownership and Control Persons
2. International Wealth Management Subject Matter Expert reviewing international accounts including entity structuring, assessing risk, analyzing source of funds and wealth, familiarity with NRA requirements and engagement with international clients
2. Review and approval of wires and standing payments, proficient in OFAC requirements, ability to identify high risk transactions and know information to request in those situations.
3. Familiar with DOL PTE regulation
4. Partner with field managers to enforce firm and regulatory policies
5. Review and approve Financial Plans and correspondence for use with the public
6. Review and approve communication with the public including but not limited to social media and business cards. Proficient in written and verbal communication with International Team and clients
7. Perform supervisory task delegated by Principal Managers including oversight of securities related activity of registered bank teammates
8. Quality Control review of Central Supervisor 1 activity
9. Develop and implement teammate and department training
QUALIFICATIONS
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. 5 to 7 years of experience in brokerage with an emphasis in compliance, operations or supervisory function
2. Strong written and oral communication skills and detailed oriented
3. Must display strong decision-making skills and thorough knowledge of retail rules and regulations and operations
4. Series 7, 66 or (63/65), 24 and Life, Health and Variable insurance license
5. Proficiency with Microsoft Office applications
Preferred Qualifications:
1. Bachelor’s degree in finance and 4 years of Retail Brokerage experience in supervision or compliance
2. National Financial Services platform
3. Salesforce experience
4. Multilingual is strongly preferred
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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