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Senior Compliance Officer - Broker/Dealer
Location:
Richmond, VA
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, you'll 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. Need Help? If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response). 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 assigned business units (Broker Dealer) and/or functions. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework. LOCATION: Candidate must be located in one of the posted locations: * Charlotte, NC * Richmond, VA No full remote or relocation being offered; Truist is operating in a hybrid (4 days in office) model. 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 that are complex and multifaceted and use that knowledge as a subject matter expert to communicate requirements and expectations to assigned areas of responsibility.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 business units and/or functions.4. Develop Risk Committee materials, including evaluation of program effectiveness, level and direction of risks, key and emerging risks, and status of previously-identified risk and control issues.5. Communicate with management and regulators with respect to compliance risk management activities and regulatory examinations.6. 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. 7. May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts.8. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner. 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 experience2. Eight years of financial institution experience3. Five years of direct experience in compliance4. 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: Series 7 & 24 registeredDemonstrated Broker Dealer compliance experienceProven compliance experience within a financial services institutionMBA, Juris Doctorate or other advanced degreeDemonstrated experience and knowledge of FINRA, SEC, and MSRB rules, regulatory agencies, requirements, and/or regulatory compliance 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. EEO is the Law Pay Transparency Nondiscrimination Provision E-Verify PDN-9bd7671d-7212-4e37-a333-2a299cbaf0ad
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More About this Listing: Senior Compliance Officer - Broker/Dealer
Senior Compliance Officer - Broker/Dealer is a Executive Compliance Officer Job at Truist located in Richmond VA. Find other listings like Senior Compliance Officer - Broker/Dealer by searching Oodle for Executive Compliance Officer Jobs.
Senior Compliance Officer - Broker/Dealer is a Executive Compliance Officer Job at Truist located in Richmond VA. Find other listings like Senior Compliance Officer - Broker/Dealer by searching Oodle for Executive Compliance Officer Jobs.