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Truist Capital Markets Operations Specialist III in Charlotte, North Carolina

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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:

Truist is seeking a Capital Markets Operations Specialist that will report directly to the Head of Regulatory Trade Reporting Operations. The Regulatory Trade Reporting Operations team is responsible for the oversight of Swap Dealer and Institutional Broker Dealer regulatory trade reporting. Candidate must understand and have a working knowledge of OTC Derivatives, Fixed Income and Equities products. Be familiar with CFTC, SEC, OSC, EMIR, FINRA and MSRB Regulations. Reporting knowledge of This role requires the ability to work in a fast-paced environment, multitask with strong communication skills, and to enter data correctly and efficiently is essential. Additional responsibilities include internal coordination and to communicate with external clients as well as Technology, Compliance, Risk, Legal, Sales and Trading internal partners.


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. Process transactions as specifically required by job function and work independently to complete daily tasks within specified time parameters.

  2. Interact with clients, teammates from the LOB and other support teammates to process requests and resolve issues

  3. Ensure functional procedures and controls are being followed and maintained


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. BS/BA Degree, or equivalent education and related training or 5-8 years related experience

  2. Understanding of Microsoft Office software, especially Excel. May be required to demonstrate proficiency

  3. Excellent interpersonal, time management and problem solving skills

  4. Demonstrated technical expertise of select capital markets products and technologies

  5. Understanding and working knowledge of OTC Derivatives and be familiar with CFTC, SEC, OSC, EMIR Regulations.

  6. Specific knowledge of initial and continuation reporting (Part 43,45), Portfolio Reconciliation, Trade Reconciliation, Large Trader Reporting, NACK resolution, DTCC GTR reports, DTCC Report Hub

Preferred Qualifications:

  1. Prior experience in bank or brokerage operations with ability to show increased level of responsibilities

  2. Knowledge of brokerage systems and ability to demonstrate thorough knowledge of operational processing environment

  3. FINRA Series 99 or 7

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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