Truist Brokerage Operations Regional Support Manager (Raleigh, Winston, or Greensboro) in Raleigh, North Carolina
Req ID: R0064074
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Regular or Temporary:
Language Fluency: English (Required)
1st shift (United States of America)
Please review the following job description:
Responsible for the supervision of Client Service Associates, including their sales support processes and activities. Develop plans and processes in conjunction with Wealth Brokerage sales leaders to ensure the service provided by Client Service Associates and Branch Service Associates continue to align and serve the needs of the Financial Advisor. Be aware of operational and regulatory impacts to the Financial Advisor to ensure appropriate sales support processes are updated and implemented. This position may also serve in a centralized capacity, managing multiple service associates within one location.
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.
Manage the Client/Branch Service Associates and their daily activities in support of the Financial Advisor, including addressing escalated issues not resolved by the Client/Branch Service Associate.
Meet regularly with Complex Directors to ensure appropriate and effective support is being provided.
Monitor operational and regulatory changes for impacts to sales support functions and processes. Pursue solutions to challenges presented by those impacts.
Work closely with Compliance regarding inquiries for documentation, licensing, branch openings, communication of updates, letters of indemnity, branch audits, file reviews and other issues as needed.
Approve operational submissions and forms when manager approval is required.
Oversee training, performance evaluations, salary adjustments, promotions, transfers, hiring, terminations, timekeeping records and staffing levels for assigned territory.
Participate in the onboarding process for new teammates and Financial Advisors, including facilities assistance.
Work with Complex Directors to facilitate events and marketing requests.
Facilitate various administrative and operational projects between clients, Financial Advisors, Financial Consultants, and Client Service Associates, such as incoming and outgoing correspondence reviews, continuing education requirements, and access reviews.
Work with risk and fraud departments on behalf of brokerage clients when necessary.
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.
FINRA Series 7, 66, 24, and Life, Health and Variable.
Bachelor's degree and knowledge of financial institutions with emphasis in operations, supervision or administration.
Strong written and oral communication skills.
Exceptional decision making and judgment skills.
Detail oriented and able to work independently while juggling multiple priorities.
A minimum of 5 years of industry experience in a financial institution with emphasis in operations, supervision and/or administration.
Bachelor's degree or equivalent experience and related training.
Knowledge of securities markets and brokerage accounts.
Knowledge of the features and attributes of annuity products.
Effective time management skills.
FINRA Series 53.
7 to 9 years of business experience in retail brokerage with an emphasis in operations, management and supervision.
Bachelor's degree in business, accounting, finance, banking or equivalent education and related training.
Banking or Investment securities experience.
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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