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Regular or Temporary:

Language Fluency: English (Required)

Work Shift:

Please review the following job description:

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.

• Serve as a Team Leader with people management responsibilities which include performance reviews staffing management coaching and guiding requiring reporting on team activities. Keep team updated on policy changes and/or system changes. Serve as a resource to team to answer complex questions and provide assistance on high-level cases.
• Perform escalated review of complex transactions identified by the Supervision Team.
• Electronic Correspondence/Social Media Review of direct reports and as needed in support of the department.
• Effectively communicate policy and procedure changes to the team.
• Serve as Subject Matter Expert for policy changes.
• Serve as primary escalation point of contact for Principal Managers and Business Partners with regard to Supervisory activities.
• Participate in meetings and calls representing the Supervision Team when discussing Policies Products Systems and other items that impact the department and our processes. Serve as Supervision representative on firm initiatives.
• Oversee daytoday execution of AML and fraud transaction monitoring workflows ensuring analysts are meeting timeliness quality and escalation expectations.
• Implement and manage a formal Quality Assurance/Quality Control program to evaluate the accuracy completeness and consistency of analyst investigations documentation and UFO submissions.
• Review QA/QC results identify trends or control weaknesses and drive corrective action plans including targeted coaching or process enhancements.
• Serve as escalation point for complex AML/Fraud investigations ensuring sound riskbased judgment proper documentation and alignment with regulatory expectations.
• Monitor work queues case aging and volume spikes to allocate resources rebalance assignments and ensure SLAs are met.
• Partner with Protegent Administrator and Business Leadership to refine monitoring rules adjust risk parameters and improve detection effectiveness.
• Maintain strong awareness of emerging risks (e.g. fraud typologies AML regulatory updates elder abuse trends) and ensure analysts are educated and processes evolve to address those risks.
• Coordinate periodic calibration sessions with analysts to reinforce consistent investigative approaches documentation standards and escalation thresholds.
• Lead continuous improvement efforts related to transaction monitoring systems negative news screening processes and escalation workflows; propose enhancements and operational efficiencies.
• Ensure complete and accurate data capture for reporting obligations; validate team reporting on escalations trends and case outcomes.
• Provide oversight of elder financial exploitation reviews ensuring timely triage appropriate escalation and coordination with Wealth AML & Fraud Risk Manager and the AML Officer.

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
• Five or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
• Must have exceptional industry disciplinary history.
• Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.
• Solid decision-making and judgment capabilities.

Preferred Qualifications:

• Bachelors degree in finance or business.
• 7 or more years of regulatory compliance or supervisory experience.
• Experience managing a team.
• FINRA Series 4 license.
• Experience with Envestnet NFS/Wealthscape Protegent/Prosurv platforms and Hearsay
• 6. Bilingual

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.

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