GCO Risk Advisor - FINRA - Series 4, 7, 24, 53 and 66 Licenses
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About The Position
Serve as a dedicated localized supervisor for assigned group of high performing Wealth Brokerage advisor teams and primary point of contact for Central Supervision Group (CSG) leadership, while maintaining a focus on mitigating risk for the firm from financial, reputation and regulatory items. Ensure that the advisors and teams, OSJs and/or branch offices are following industry rules, regulations as well as internal policies and procedures. This role is a first line of defense supervisory principal reporting within the Governance and Controls Office (GCO) Centralized Supervision Group, serving as a subject matter expert responsible for effectively and proactively identifying, mitigating, and managing risks for the Wealth Brokerage advisors. This position will be responsible for supervising the daily transactions including but not limited to securities, mutual funds, UITs, Structured Products and marketing requests. This position will perform supervisory functions that are routinely associated with those of a retail broker/dealer to engage with advisors in the management of risks and controls as well as its execution of risk program requirements. Telecommuting/Remote workstyle may be considered for well-qualified individuals located outside of the Truist footprint. Teammate will work hours supporting Eastern Standard Time.
