Wealth Divisional Supervision Specialist - Location TBD - Charlotte, Tampa, Atlanta, Richmond - #439974
Date: 09/15/2021 10:30 AM
City: Beaverdam, Virginia
Contract type: Full Time
Work schedule: Full Day
The position is described below. If you want to apply, click the Apply button at the top or bottom of this page. You'll be required to create an account or sign in to an existing one.
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Regular or Temporary:
Language Fluency: English (Required)
1st shift (United States of America)
Please review the following job description:
Purpose: Mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures.
Responsibility: Perform supervisory functions that are routinely associated with those of a retail broker/dealer.
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. Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ensure suitability and required documentation has been met. Focus on meeting all regulatory requirements pertaining to transaction review. Perform a holistic view of overall transaction and escalate complex matters to Team Lead and/or Divisional Sales Management.
2. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy.
3. Implement and enforce internal compliance related procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk to the firm.
4. Provide regular updates and communication with advisors, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights
5. Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned for review by the Central Supervision Group.
6. Review and approve Retail Communications, Seminars and Speaking Engagement requests to ensure regulatory requirements are met which includes but not limited to proper disclosures, fair and balanced communication, adherence to Intellectual Property and Copyright requirements
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. 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)
2. Life/Health and Variable Insurance Licensing
3. 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
4. Must have exceptional industry disciplinary history.
5. Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.
6. Solid decision-making and judgment capabilities.
7. Sound investigative skills and ability to follow up and manage cases.
8. Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.
9. Strong organizational skills and the ability to multi-task are also required.
1. Bachelor's degree in Finance or Business.
2. 7 or more years of regulatory, compliance or supervisory experience
3. FINRA Series 4
Truist supports a diverse workforce and is an Equal Opportunity Employer who does not discriminate against individuals on the basis of race, gender, color, religion, national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Drug Free Workplace.
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