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Truist Investment Client Care Department Manager in Orlando, Florida

Req ID: R0035592

Specific information related to the position is outlined below. To apply, click on the button above. You will be required to create an account (or sign in with an existing account). Your account will provide you access to your application information.Need Help?

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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:

Responsible for the overall management of the Investment Client Care (ICC) team which is a group of 16 Series 7, Series 63/66 licensed professionals providing investment service support to Truist brokerage clients. Handle day to day regulatory responsibilities and provide guidance to teammates and team manager around problem escalations and procedural updates.

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.

  1. Act as Series 24 Registered Principal supervising activities of Series 7, Series 63/66 licensed representatives, maintaining U4, U5, and registration records as well as overseeing review/approval of incoming and outgoing correspondence.

  2. Responsible for the recruitment, development and retention of Investments Client Care talent

  3. Identify and mitigate any potential risk issues and keep team informed of compliance monthly updates.

  4. Establish ongoing working relationship with Supervisory Principal and Regional Operations Managers to act as liaison for servicing side of Investment department.

  5. Maintain and periodically update new hire training materials and ICC procedures folder.

  6. Meet with internal partners regularly to determine how related projects and changes to procedures may impact or need to be implemented to the ICC.

  7. Partner with STIS Operations to improve training, documentation, and constantly evolving procedures related to money movement, account documentation, online trading, account set-up for brokerage accounts, etc.

  8. Preserve and update all STIS brokerage books/records along with handling any broker dealer audits.

  9. Responsible for strategic planning and execution while collaborating with Wealth Client Care Director and Team Manager.

  10. Track and measure productivity and compare to benchmarks in order to achieve quantitative and qualitative objectives.

  11. Identify opportunities to improve or develop new operational functions and process within the center.

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.

  1. Hold a FINRA Series 7 (General Securities), Series 63 (State), and Series 24 (Principal)

  2. Five or more years of experience in customer service environment

  3. Five or more years of leadership experience

  4. Ten or more years working in investment field

  5. Ability to lead and motive teammates with courtesy and respect

  6. Operates effectively in a team environment

  7. Lead team to adapt to a rapidly changing business and technology environment

  8. Organized and responsive with the ability to handle multiple tasks simultaneously

  9. Empowered self-starter

  10. Demonstrated proficiency in basic computer applications, such as Microsoft Office software products

  11. Excellent verbal and written communication skills

Preferred Qualifications:

  1. Extensive knowledge of Client Relationship Management tools and WealthScape

  2. Additional FINRA or Insurance Licenses

  3. Bachelor's degree in finance, business, banking, administration or similar

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.

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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.

© 2017 SunTrust Banks, Inc. All rights reserved.

SunTrust is federally registered service marks of SunTrust Banks, Inc.

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