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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:
Purpose: Mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures. Responsibility: Perform supervisory functions that are routinely associated with those of a retail broker/dealer.
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.
- Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ensure suitability and required documentation has been met. Focus on meeting all regulatory requirements pertaining to transaction review. Perform a holistic view of overall transaction and escalate complex matters to Team Lead and/or Divisional Sales Management.
- Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy.
- Implement and enforce internal compliance related procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk to the firm.
- Provide regular updates and communication with advisors, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights
- Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned for review by the Central Supervision Group.
- Review and approve Retail Communications, Seminars and Speaking Engagement requests to ensure regulatory requirements are met which includes but not limited to proper disclosures, fair and balanced communication, adherence to Intellectual Property and Copyright requirements.
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.
- FINRA Series 7, 24, 53, and 66 licenses (Series 63&65 can be used in lieu of Series 66)
- Life/Health and Variable Insurance Licensing
- 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
- Must have exceptional industry disciplinary history.
- Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.
- Solid decision-making and judgment capabilities.
- Sound investigative skills and ability to follow up and manage cases.
- Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.
- Strong organizational skills and the ability to multi-task are also required.
Preferred Qualifications:
- Bachelor's degree in Finance or Business.
- 7 or more years of regulatory, compliance or supervisory experience
- FINRA Series 4
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 is an Equal Opportunity Employer that does not discriminate 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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