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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:
Serve as a dedicated localized supervisor for assigned group of high performing Wealth Brokerage advisor teams and primary point of contact for 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 serve as a dedicated supervisory principal for multiple top tier advisor teams in the Raleigh and Winston Salem local markets and 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. Provide risk advice to effectively manage risk within the assigned areas of a Business Unit. Aggregate, integrate, correlate, and report risks for assigned areas of a Business Unit to CSG Relationship Managers, and to the CSG Leadership Team.
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.
Engage in risk management activities with the line of business, proactively identifying existing and emerging risks through the day-to-day supervisory reviews that are performed.
Supervisory responsibility for Broker Dealer trading activity.
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, manager and/or Regional Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy.
Serve as Principal reviewer of Advisor created marketing material and retail communications for use with the public and clients.
Reviews are conducted according to firm policies and procedures and in coordination with Compliance.
Principal Review of Advisor Bio pages, electronic client correspondence, retail communications and seminars 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.
Coordinate with Regional Supervisors performing other essential functions within the region to ensure timely issue resolution.
Supervisory responsibility for all licensed client facing teammate Social Media activity.
The Marketing Supervisor will work closely with teammates to make sure that Social Media profiles and activities conducted are compliant and in line with regulatory standards.
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 risk management support and oversight for change activities (both business and regulatory change).
This would be accomplished in providing regular updates and communication with advisors, Regional Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends, and policy oversights.
Provide oversight and support for open risk, audit, and regulatory issues.
Primary reviewer of advisor Regulation Best Interest documentation as it pertains to solicited transactions and trigger events assigned for review by the Central Supervision Group.
Participate in meetings and calls, representing the Supervision Team when discussing Policies, Products, Systems, and other items that impact the department and our processes.
Work alongside the GCO Risk Program Execution team in executing and supporting all risk program activities as defined in policy.
Other activities and special projects, as deemed required.
Build and maintain relationships that enhance advisors' overall business strategy and experience.
Key contributor for the quarterly supervisory observations report which provides a detailed summary of the advisor activities, trends and issues identified by the Centralized Supervision Group for each Region.
Report and communicate risk results and escalate material concerns to BURM Leadership.
Support the execution of risk management initiatives at the direction of BURM Leadership.
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 9&10 can be used in lieu of 53, Series 63 & 65 can be used in lieu of Series 66). Life/Health and Variable Insurance Licensing
6 + years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
Must have exceptional industry disciplinary history.
Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210.
Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.
Solid problem-solving skills in complex environments
Ability to influence change.
Excellent time management and organizational skills with the ability to operate without close supervision on day-to-day decisions
Capable of handling multiple projects concurrently.
Exceptional relationship management skills and ability to build rapport with advisors, sales management and product managers.
Ability to travel, occasionally overnight.
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.
Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
Preferred Qualifications:
Master's degree in finance or business, or equivalent education and related training.
8 + years of regulatory, compliance or supervisory experience
FINRA Series 4
Strong knowledge in field of assigned business unit(s).
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
. 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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