Wealth Supervision Team Lead

Truist • Atlanta, GA

4d

About The Position

Provide leadership of supervision associates tasked with supervisory oversight and monitoring of the firm’s broker-dealer and investment advisory business. Ensure team is aware of and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures. Assist with escalated items as requested from the team and/or management, serving as the subject matter expert. Attend working groups and/or committee meetings to represent the broker-dealer or investment advisory. May work with platform vendor to review and monitor system settings and related alerts. Proactively engage partners within the firm to identify areas for improvement to processes and procedures. Perform supervisory and managerial functions that are routinely associated with those of a retail broker/dealer and/or RIA. 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. Serve as a Team Leader with people management responsibilities which include performance reviews, staffing management, coaching and guiding, requiring reporting on team activities. Keep team updated on policy changes and/or system changes. Serve as a resource to team to answer complex questions and provide assistance on high-level cases. Perform escalated review of complex transactions identified by the Supervision Team. Electronic Correspondence/Social Media Review of direct reports and as needed in support of the department. Effectively communicate policy and procedure changes to the team. Serve as Subject Matter Expert for policy changes. Serve as primary escalation point of contact for Principal Managers and Business Partners with regard to Supervisory activities. Participate in meetings and calls, representing the Supervision Team when discussing Policies, Products, Systems, and other items that impact the department and our processes. Serve as Supervision representative on firm initiatives. Oversee day‑to‑day execution of AML and fraud transaction monitoring workflows, ensuring analysts are meeting timeliness, quality, and escalation expectations. Implement and manage a formal Quality Assurance/Quality Control program to evaluate the accuracy, completeness, and consistency of analyst investigations, documentation, and UFO submissions. Review QA/QC results, identify trends or control weaknesses, and drive corrective action plans, including targeted coaching or process enhancements. Serve as escalation point for complex AML/Fraud investigations, ensuring sound risk‑based judgment, proper documentation, and alignment with regulatory expectations. Monitor work queues, case aging, and volume spikes to allocate resources, rebalance assignments, and ensure SLAs are met. Partner with Protegent Administrator and Business Leadership to refine monitoring rules, adjust risk parameters, and improve detection effectiveness. Maintain strong awareness of emerging risks (e.g., fraud typologies, AML regulatory updates, elder abuse trends) and ensure analysts are educated and processes evolve to address those risks. Coordinate periodic calibration sessions with analysts to reinforce consistent investigative approaches, documentation standards, and escalation thresholds. Lead continuous improvement efforts related to transaction monitoring systems, negative news screening processes, and escalation workflows; propose enhancements and operational efficiencies. Ensure complete and accurate data capture for reporting obligations; validate team reporting on escalations, trends, and case outcomes. Provide oversight of elder financial exploitation reviews, ensuring timely triage, appropriate escalation, and coordination with Wealth AML & Fraud Risk Manager and the AML Officer.

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
• Five 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.

Nice To Haves

• Bachelor’s degree in finance or business.
• 7 or more years of regulatory, compliance or supervisory experience.
• Experience managing a team.
• FINRA Series 4 license.
• Experience with Envestnet, NFS/Wealthscape, Protegent/Prosurv platforms, and Hearsay 6.

Responsibilities

• Serve as a Team Leader with people management responsibilities which include performance reviews, staffing management, coaching and guiding, requiring reporting on team activities.
• Keep team updated on policy changes and/or system changes.
• Serve as a resource to team to answer complex questions and provide assistance on high-level cases.
• Perform escalated review of complex transactions identified by the Supervision Team.
• Electronic Correspondence/Social Media Review of direct reports and as needed in support of the department.
• Effectively communicate policy and procedure changes to the team.
• Serve as Subject Matter Expert for policy changes.
• Serve as primary escalation point of contact for Principal Managers and Business Partners with regard to Supervisory activities.
• Participate in meetings and calls, representing the Supervision Team when discussing Policies, Products, Systems, and other items that impact the department and our processes.
• Serve as Supervision representative on firm initiatives.
• Oversee day‑to‑day execution of AML and fraud transaction monitoring workflows, ensuring analysts are meeting timeliness, quality, and escalation expectations.
• Implement and manage a formal Quality Assurance/Quality Control program to evaluate the accuracy, completeness, and consistency of analyst investigations, documentation, and UFO submissions.
• Review QA/QC results, identify trends or control weaknesses, and drive corrective action plans, including targeted coaching or process enhancements.
• Serve as escalation point for complex AML/Fraud investigations, ensuring sound risk‑based judgment, proper documentation, and alignment with regulatory expectations.
• Monitor work queues, case aging, and volume spikes to allocate resources, rebalance assignments, and ensure SLAs are met.
• Partner with Protegent Administrator and Business Leadership to refine monitoring rules, adjust risk parameters, and improve detection effectiveness.
• Maintain strong awareness of emerging risks (e.g., fraud typologies, AML regulatory updates, elder abuse trends) and ensure analysts are educated and processes evolve to address those risks.
• Coordinate periodic calibration sessions with analysts to reinforce consistent investigative approaches, documentation standards, and escalation thresholds.
• Lead continuous improvement efforts related to transaction monitoring systems, negative news screening processes, and escalation workflows; propose enhancements and operational efficiencies.
• Ensure complete and accurate data capture for reporting obligations; validate team reporting on escalations, trends, and case outcomes.
• Provide oversight of elder financial exploitation reviews, ensuring timely triage, appropriate escalation, and coordination with Wealth AML & Fraud Risk Manager and the AML Officer.

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