Job Information
Truist Investment Banking Compliance Officer in New York, New York
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Regular or Temporary:
Regular
Language Fluency: English (Required)
Work Shift:
1st shift (United States of America)
Please review the following job description:
Leads a team of compliance professionals to ensure appropriate compliance risk oversight is in place for assigned business units and/or functions. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework.
Location: Please note: candidate(s) must be located at one of the posted locations. Hybrid work environment (4 days in office). Not a telecommute/remote role.
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.
The Investment Banking Compliance Officer will be a member of the Global Corporate & Investment Banking Compliance team with the objective of providing compliance support, guidance, and oversight.
Responsible for providing regulatory guidance and coverage of private side activities such as investment banking, public finance, mergers & acquisitions, capital markets originations, and syndicate.
The specialist will be responsible for compliance activities such as advising on policies and procedures, the preparation and delivery of training and conducting monitoring.
Lead and develop a compliance program/function which may include leading a team.
Provide leadership and communicate effectively with senior management and legal staff, as necessary, to ensure awareness of regulatory issues and updates.
Work closely with senior management to establish an appropriate compliance culture throughout the organization.
Oversee the efforts of business units and other risk areas in the development and implementation of policies, procedures and processes to minimize compliance risks.
Aggregate and review Risk Committee materials across team to ensure appropriate evaluation of program effectiveness and stated compliance risk is communicated to leadership.
Communicate with management and regulators with respect to compliance risk management activities and regulatory examinations.
Collaborate across internal team to implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies.
Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner.
QUALIFICATIONS
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.
Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience
Ten years of financial institution experience
Eight years of direct experience in compliance
Advanced knowledge, ability and expertise in compliance and a broad understanding of financial services
Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance
Solid understanding of risk management processes and risk analysis
Strong communication skills, both verbally and written, and the ability to communicate and interact with all levels of management
Preferred Qualifications:
MBA, Juris Doctorate or other advanced degree
Ten years of compliance experience, with five years at medium to large financial institution
Prior supervisory or management experience
Certified Regulatory Compliance Manager (CRCM)
Investment banking and capital markets regulatory experience. Experience with MSRB rules a strong plus.
The annual base salary for this position is $152K - $170K
Additional incentive pay is available for this position
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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