Wealth Brokerage Risk Execution Consultant
Wealth Brokerage Risk Execution Consultant
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Job Description
The position is described below. If you want to apply click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application youll be invited to create a profile which will let you see your application status and any communications. If you already have a profile with us you can log in to check status.
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Regular or Temporary:
RegularLanguage Fluency: English (Required)
Work Shift:
1st shift (United States of America)Please review the following job description:
Provides service support and advice to promote the business units growth and development while helping the sales organization meet its firm and regulatory obligations. Works closely with the Division Director Regional Directors and client facing teammates as well as other leadership in the designated geography the Wealth leadership team and the Compliance Supervision and Risk departments to ensure business unit compliance with all regulations and supervisory policies. Serves as the business delegate for risk oversight functions and is responsible for effective identification and communication of potential areas of risk and emerging risk for Wealth.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. Drive the Wealth quality business efforts by partnering with senior leadership and field to ensure the active and successful engagement in regulatory supervision and compliance initiatives and requirements.
2. Responsible for the successful and timely completion of supervisory and compliance initiatives for assigned regions.
3. Perform all delegated functions in accordance with the Delegation of Authority and firm policies and procedures.
4. Independently identify and escalate current and emerging risk including how targeted areas of risk could impact Wealth at a broad level.
5. Frequently interact with the business unit senior leadership team and the Compliance and Risk departments to enhance overall risk performance of responsible regions.
6. Ownership of risk mitigation actions and activities in assigned regions
7. Point of contact for field sales managers and business partners with regard to compliance and risk initiatives.
8. Conduct front-office education and information sessions on regulatory and compliance issues as necessary.
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. Bachelors degree; advanced degree a plus.
2. Minimum of eight (8) years of industry experience in a financial institution with emphasis in compliance supervision and/or administration.
3. Extensive knowledge of the broker/dealer and registered investment adviser industry.
4. Excellent written verbal and presentation skills combined with exceptional decision-making and collaboration abilities.
5. Detail-oriented and able to work independently while managing multiple priorities.
6. FINRA Series 7 66 24 and Life Health and Variable insurance licenses.
Preferred Qualifications:
1. Business degree in business accounting finance banking or equivalent education and related training.
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 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 Truists generous benefit plans please visit our Benefits site. Depending on the position and division this job may also be eligible for Truists 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.
EEO is the LawPay Transparency Nondiscrimination Provision E-Verify
Required Experience:
Contract
Employment Type
Full-Time
