Truist Central Supervisor in Atlanta, Georgia
Req ID: R0044975
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Regular or Temporary:
Language Fluency: English (Required)
1st shift (United States of America)
Please review the following job description:
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.
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.
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
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.
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
Bachelor's degree in Finance and 2 years of Retail Brokerage experience in supervision or compliance
National Financial Services platform
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.
Thank you for your interest in Truist! BB&T and SunTrust have come together in a transformational merger of equals to create Truist, the premier financial organization in the country. You may notice references to our legacy company names, BB&T and SunTrust, in places throughout this site. All such references should be understood to refer to Truist moving forward while we continue to transition to the Truist name.
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