Business Unit Risk Specialist - FINRA
Business Unit Risk Specialist - FINRA
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Job Description
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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:
The Business Unit Risk Advisor Specialist II-FINRA engages with the Investment Banking and Capital Markets Business Unit stakeholders to support The Business Unit Risk Advisor Specialist II-FINRA is a role within the Investment Banking and Capital Markets (IBCM) Business Unit Risk this role you will support the IBCM team in managing risks and controls across highly complex business area while helping ensure compliance with enterprise compliance program requirements. Key responsibilities include partnering with business stakeholder to provide advice and guidance on mitigating risks and implementing control activities collaborating with teammates to promote a strong risk culture by helping ensure alignment with frameworks policies and regulatory expectations and executing and facilitating risk program activities including Risk and Control Self Assessments (RCSA) Key Risk Indicators (KRIs) and other thematic trend reviews across Investment Banking and Capital Markets.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. Provide risk support to assigned Business Unit across all risk types to promote and strengthen compliance with applicable regulations policies procedures and risk program requirements.
2. Partner with first- and second-line defense teammates across highly complex business areas in identifying escalating and in remediating risk control gaps to ensure compliance with Enterprise Risk Management programs and policy.
3. Monitor and report on emerging risks potentially impactful to Business Unit partners and Truist. Execute processes and record retention routines necessary to ensure Business Unit compliance with enterprise risk monitoring requirements.
4. Understand Business Unit goals provide risk management expertise in strategic projects and seek engagement from appropriate peers for guidance and input.
5. Other activities and special projects as deemed required.
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 in Accounting Business Finance or related field or equivalent education and related training.
2. 5 years of experience in a financial institution with emphasis on risk management or equivalent work experience and training and/or equivalent education training and experience.
3. Experience in compliance and operational risk mitigation and remediation.
4. Strong communication interpersonal presentation and negotiation skills.
5. Proven leadership and management skills.
6. Strong time management and organizational skills adaptable to a dynamic and complex work environment; Capable of handling multiple projects concurrently.
7. Demonstrated proficiency in basic computer applications such as Microsoft Office software products.
8. Ability to travel occasionally overnight.
Preferred Qualifications:
1. Strongly preferred: FINRA Series 7 and 66 licenses (Series 63 & 65 can be used in lieu of Series 66).
- The annual base salary for this position ranges between $105K-$135K
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:
Unclear Seniority
Employment Type
Full-Time
