Wealth Regional Supervisor - New Accounts

Truist Bank • Charlotte, NC

28d

About The Position

The Central Supervisor will work closely with Truist Private Financial Advisors, CSAs, Regional Operations Managers and Complex Managers. The individual will be a member of a team which functions as the designee of the Principal Manager and performs administrative supervisory functions that are routinely associated with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and acceptance of new accounts introduced to the firm, money movement and trade corrections. Responsible for following regulatory policy as a Registered Principal for the firm.

Requirements

• 3 to 5 years of experience in brokerage with an emphasis in compliance, operations or supervisory function
• Strong written and oral communication skills and detailed oriented
• Must display strong decision making skills and thorough knowledge of retail rules and regulations and operations
• Series 7, 66 or (63/65), 24 and Life, Health and Variable insurance license
• Proficiency with Microsoft Office applications

Nice To Haves

• Bachelor's degree in Finance and 2 years of Retail Brokerage experience in supervision or compliance
• National Financial Services platform
• Salesforce experience

Responsibilities

• Thorough review of new accounts and adherence to RegBi regulations and oversight
• Review and approval of money movement request and trade corrections
• Partner with sales management to enforce firm and regulatory policies
• Review and approve Financial Plans and correspondence for use with the public
• Perform supervisory tasks delegated by Principal Managers including oversight of securities related activity of registered bank teammates

Benefits

• 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.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees