Truist Group Supervisory Specialist - Bilingual (Charlotte, NC or Richmond, VA) in Glen Allen, Virginia
Req ID: R0031061
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Regular or Temporary: Regular Language Fluency: English (Required) Spanish (Required) Work Shift: 1st shift (United States of America)
Please review the following job description:
The specialist position reports to the Supervisory Manager and will work closely with Principal Managers, Regional Operations Managers and Financial Advisors. They are expected to work in a team environment to protect STIS from financial, reputation and regulatory risk by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations and internal policies and procedures. The individual will be a member of the team which functions as the designee of Region Managers and performs supervisory functions that are routinely associated with those of a retail broker/dealer. The supervisory functions may include non-advisory trade review, annuity/insurance transaction review, sales practice issues, email correspondence/social media content or other compliance related matters. Enforce/implement internal compliance related procedures, compliance training and identification of harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk to the firm. Reviews transactions to ensure advisors are managing accounts in accordance with firm policies. Reviews account documentation and other client account information for accuracy and to ensure compliance with firm and regulatory requirements. Responsible for following regulatory policy as a registered principal for the firm. Minimum Requirements:
5 years related retail brokerage and investment advisory experience with an emphasis in supervision/compliance. Must have exceptional industry disciplinary history. Strong written and verbal communication skills in both English and Spanish with demonstrated ability present ideas effectively to a group. Solid decision-making and judgment capabilities. Sound investigative skills and ability to follow up and manage cases. Strong organizational skills and the ability to multi-task are also required. Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations. Series 7, 24, 53, 4, 65/66 Life/Health, and Variable Insurance Licensing required. Preferred Requirements:
Bachelor’s degree in Finance or Business. Employee will possess a minimum of 2 years regulatory experience. 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. EEO is the Law Pay Transparency Nondiscrimination Provision E-Verify
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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