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Truist Ethics Risk Officer III- Sales Practices Governance & Oversight in Atlanta, Georgia

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Regular or Temporary:


Language Fluency: English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

Responsible for leading the development and maintenance of the Sales Practices Risk Program requirements and execution of related governance and monitoring routines. Provides effective challenge, second line oversight and advisory support to related business unit risk management activities for both internal and third-party sales practices risk. Oversees maintenance of program policies, procedures, and reporting. Coordinates with senior line of business and risk leaders’ enterprise-wide in their interpretation, implementation, and execution of the Sales Practices Risk program requirements. Leads identification, analysis and resolution of issues, findings, emerging risks, and process improvement opportunities and in coordination of regulatory and audit requests. Provides advanced support of other initiatives within the Enterprise Ethics Office as needed to accomplish established strategic objectives. May lead work of others within the Sales Practices Risk Governance & Oversight function as needed to assist the team manager.

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.

  1. Lead assessments of lines of business (LOBs) and third parties for sales practices exposure as part of the established governance routines.

  2. Oversee and conduct governance oversight reviews to confirm adherence to program and policy requirements and related procedures.

  3. Coordinate ongoing communication and consultation to lines of business and other defined process contributors, including sharing of risk learnings, best practices and as well as providing thought leadership in identification, planning, and communicating of program expectations and ongoing program maturation requirements.

  4. Oversee the development and maintenance of program-level procedures. Review and provide input into LOB and process contributor supporting procedures.

  5. Oversee the development of and provide training, as applicable, as well as review provide input into LOB and process contributor training content/materials.

  6. Coordinate and support ongoing sales practices complaint monitoring, including identification and communication of trends noted for continuous informed gap assessment/process improvement.

  7. Coordinate gathering, review, and analysis of LOB sales practices related reporting, identifying trends or areas of risk exposure requiring research and/or risk mitigation.

  8. Oversee completion of annual and off-cycle sales practices attestations.


Required Qualifications:

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.

  1. Bachelor's Degree or an equivalent combination of education and experience. T

  2. Ten+ years of banking, audit, regulatory oversight, or risk management experience.

  3. Demonstrated understanding of risk management practices, including risk assessment and mitigation.

  4. Demonstrated ability to assess, design and/or execute process design, including continuous process improvement principles and closed-loop accountabilities.

  5. Demonstrated ability to manage highly complex projects and programs involving multiple stakeholder groups, with minimal oversight, as well as confirming requirements are delivered in accordance with defined timeframes.

  6. Demonstrated ability to grasp underlying concepts in complex information, identify root causes of problems/process breakdowns and the ability to formulate solutions based on synthesis of this data.

7.Strong decision-making skills and aptitude for analytics, with a high attention to detail and accuracy.

  1. Strong communication, presentation, and interpersonal skills, including ability to deliver effective presentation to senior leaders and committee members.

  2. Ability to influence and consult strategically across a complex institution with various levels of stakeholders.

  3. Adept with Microsoft Office products.

Preferred Qualifications:

  1. Experience with sales practices risk management activities within Frontline or risk oversight activities within Independent Risk Management.

  2. Banking industry experience.

General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: 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. For more details on Truist’s generous benefit plans, please visit our Benefits site (

. 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. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.

Truist supports a diverse workforce and is an Equal Opportunity Employer that does not discriminate against individuals on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Truist is a Drug Free Workplace.

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