Job Description

Serve as a dedicated localized supervisor for assigned group of high performing Wealth Brokerage advisor teams and primary point of contact for Central Supervision Group (CSG) leadership, while maintaining a focus on mitigating risk for the firm from financial, reputation and regulatory items. Ensure that the advisors and teams, OSJs and/or branch offices are following industry rules, regulations as well as internal policies and procedures. This role is a first line of defense supervisory principal reporting within the Governance and Controls Office (GCO) Centralized Supervision Group, serving as a subject matter expert responsible for effectively and proactively identifying, mitigating, and managing risks for the Wealth Brokerage advisors. This position will be responsible for supervising the daily transactions including but not limited to securities, mutual funds, UITs, Structured Products and marketing requests. This position will perform supervisory functions that are routinely associated with those of a retail broker/dealer to engage with advisors in the management of risks and controls as well as its execution of risk program requirements. Telecommuting/Remote workstyle may be considered for well-qualified individuals located outside of the Truist footprint. Teammate will work hours supporting Eastern Standard Time. Essential duties include engaging in risk management activities, supervisory responsibility for Broker Dealer trading activity, oversight and support for open risk, audit, and regulatory issues, primary review of advisor Regulation Best Interest documentation, holistic transaction review and escalation, review of Electronic Correspondence/Social Media for compliance, implementation and enforcement of internal compliance procedures, providing risk management support for change activities, participation in meetings representing the Supervision Team, working alongside the GCO Risk Program Execution team, building and maintaining relationships to enhance advisor business strategy, contributing to quarterly supervisory observations report, and other special projects as required. Qualifications include a Bachelor’s degree in Accounting, Business, Finance or related field or equivalent education and training, 3-6 years experience in financial or related institution with emphasis on risk management, understanding of SOX and regulatory requirements, knowledge of operational and non-financial risks, strong communication skills, proficiency in Microsoft Office, and ability to travel occasionally. Preferred qualifications include a Master’s degree, FINRA licenses, 6-8+ years related retail brokerage or investment advisory experience, thorough knowledge of industry rules and regulations, familiarity with SEC Marketing Rule and FINRA Communication with the Public Rule 2210, strong problem-solving and organizational skills, and exceptional relationship management skills. Benefits include medical, dental, vision, life insurance, disability, tax-preferred savings accounts, 401k, vacation, sick days, paid holidays, and potentially pension and deferred compensation plans. Truist is an Equal Opportunity Employer and a Drug Free Workplace.

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