Wealth Regional Supervisor

Truist Bank • Atlanta, GA

14d

About The Position

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.

Requirements

• 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
• 5 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.
• Sound investigative skills and ability to follow up and manage cases.
• Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.
• Strong organizational skills and the ability to multi-task are also required.

Nice To Haves

• Bachelor's degree in Finance or Business.
• 7 or more years of regulatory, compliance or supervisory experience
• FINRA Series 4

Responsibilities

• Perform supervisory functions that are routinely associated with those of a retail broker/dealer.
• 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.
• Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy.
• 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.
• Provide regular updates and communication with advisors, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights
• Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned for review by the Central Supervision Group.
• 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.

Benefits

• 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.
• 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