Truist Wealth Central Supervision Specialist II in Charlotte, North Carolina
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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 2 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. The Central Supervisor 2 role will perform quality control review and identify training needs.
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.
List the major responsibilities generally associated with the role (5-7 major responsibilities with no more than 10) that an incumbent in this job is expected to accomplish. Please use numbers to separate each distinct responsibility.
Thorough review of new accounts and adherence to RegBi regulations and oversight
Review and approval of money movement request and trade corrections
Partner with field managers to enforce firm and regulatory policies
Review and approve Financial Plans and correspondence for use with the public
Perform supervisory task delegated by Principal Managers including oversight of securities related activity of registered bank teammates
Quality Control review of Central Supervisor 1 activity
Develop and implement teammate and department training
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.
5 to 7 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 4 years of Retail Brokerage experience in supervision or compliance
National Financial Services platform
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 (https://benefits.truist.com/)
. 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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Pay Transparency Nondiscrimination Provision (https://www.dol.gov/sites/dolgov/files/OFCCP/pdf/pay-transp_%20English_formattedESQA508c.pdf)