Senior Compliance Officer-Surveillance and Monitoring

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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:

Responsible for conducting and directing compliance risk oversight of Sales & Trading business units such as electronic communication surveillance, and trading surveillance to detect issues of regulatory concern, inappropriate behavior and market manipulation. Executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework for the Institutional Broker Dealer.

LOCATION:

**We are currently in the office 3 days, working 2 days remote. Starting October 1st, you must be able to come in the office 4 days a week (working 1 day remote)**

Please note: To be considered for these roles, candidates must be willing to be in one of the following locations:

• Richmond, VA
• Atlanta, GA
• Charlotte, NC

No Full Remote/Telecommute. No Relocation Assistance

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. Interpret new or existing laws, rules and regulations for an Institutional Broker Dealer that are complex and multifaceted and use that knowledge as a subject matter expert to communicate requirements and expectations

to the Fixed Income Sales & Trading business.

2. Analyze existing policies, procedures, processes and controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes.

3. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within the Fixed Income Sales & Trading business unit and/or functions.

4. Take lead of the Fixed Income Sales & Trading Surveillance function within the Compliance team which includes but not limited to project management, new product reviews, and daily surveillance activities.

5. Work directly with the Fixed Income traders, compliance advisor and operations teammates.

6. Communicate with management with respect to compliance risk management activities, audit and regulatory examinations.

7. Implement strategies and methods related to the compliance risk management framework within the organization, including key risk and performance measurement data, along with oversight monitoring and surveillance strategies.  

8. May serve as mentor to other Compliance Officers and Analysts.

9. Conduct electronic communication surveillance of the broker dealer activities as well as information barrier surveillance supporting the Broker Dealer Control Group.

10. Partner with Sales & Trading leaders and Governance & Control Officers to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner

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. Bachelor’s degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience

2. Eight years of institutional broker dealer experience

3. Five years of direct experience in compliance

4. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance.

5. Strong communication skills, both verbally and written, and the ability to communicate and interact with all levels of management   

Preferred Qualifications:

1. MBA, Juris Doctorate or other advanced degree.

2. Eight years of compliance experience, with five years at medium to large financial institution

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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