FINRA Licensed

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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 compliance risk oversight of assigned business units and/or functions. Executes compliance risk management activities to reasonably ensure compliance with the Compliance Risk Management Policy and Framework.

**Ideal candidate will already have: FINRA Registrations 7, 24 and 66 or equivalent, and applicable Life, Variable Products, and Long-Term Care licenses**

If you do not have any of these licenses, you will need to obtain them.

LOCATION:

**Will be required to come into the office 4-5 days a week**

Please note: To be considered for this role, candidate must be willing to be in the below posted locations:

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

No Full Remote/Telecommute. No Relocation Assistance

TRAVEL:

**Some travel will be required throughout the Truist footprint**

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. Maintain an understanding of all applicable laws, rules and regulations applicable to coverage areas and provide regulatory guidance to assigned business unit and/or function associates.

2. Review regulatory changes and assess the impact those changes may have on assigned business units and/or functions.

3. Manage compliance risk management communications, training, documentation, procedures, and processes.

4. Monitor and communicate compliance risk management industry developments.

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

6. Assess process, procedure and control documentation  and other related compliance issues and documentation to help ensure they are accurate and easily understood by audit and/or external regulatory agencies

7. Consult with business and/or functional units with respect to the design and implementation of remediation efforts as needed.

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. Two years of compliance-related experience

3. Five years of financial institution experience

4. Demonstrated working knowledge of standard compliance concepts, practices, policies and related state and federal laws.  

5. Detail orientated and strong analytical skills.

6. Strong communication, presentation and facilitation skills; proven ability to interact with all levels of management.

7. Leadership skills to guide and mentor the work of less experienced compliance consultants and analysts.

Preferred Qualifications:

1. Master’s degree.

2. 5 years of experience in the financial services industry within audit or compliance.

3. Prior supervisory or management experience.

4. Completion of the American Bankers Association (ABA) Compliance School or CRCM certification

5. Knowledge of Capital Markets

6. FINRA Registrations 7, 24 and 66 or equivalent

​7. Applicable Life, Variable Products, and Long-Term Care licenses

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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