Truist Compliance Officer- Corporate and Institutional Group in Richmond, Virginia
Req ID: R0044687
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Regular or Temporary:
Language Fluency: English (Required)
1st shift (United States of America)
Please review the following job description:
The Corporate and Institutional Group within the Risk Management Office (RMO) has an immediate need for a Compliance Officer. The Vice President in this role will be responsible for independently conducting branch office inspections, facilitating the annual testing calendar and test script creation, participating in risk assessments and various other compliance projects. The role will be responsible for conducting compliance risk oversight of assigned business units and/or functions. Executes compliance risk management activities to reasonably ensure compliance with the Compliance Risk Management Policy and Framework.
ESSENTIAL DUTIES AND RESPONSIBILITIES
Maintain an understanding of all applicable laws, rules and regulations applicable to coverage areas and provide regulatory guidance to assigned business unit and/or function associates.
Review regulatory changes and assess the impact those changes may have on assigned business units and/or functions.
Manage compliance risk management communications, training, documentation, procedures, and processes.
Monitor and communicate compliance risk management industry developments.
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.
Assess process, procedure and control documentation and other related compliance issues and documentation to help ensure they are accurate and easily understood by audit and/or external regulatory agencies
Consult with business and/or functional units with respect to the design and implementation of remediation efforts as needed.
Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience
Two years of compliance-related experience
Five years of financial institution experience
Demonstrated working knowledge of standard compliance concepts, practices, policies and related state and federal laws
Detail orientated and strong analytical skills
Strong communication, presentation and facilitation skills; proven ability to interact with all levels of management
Leadership skills to guide and mentor the work of less experienced compliance consultants and analysts
Compliance or risk management experience within a FINRA registered broker dealer
Knowledge of FINRA, SEC, MSRB, CFTC regulations
FINRA series 7 license is preferred
5 years of experience in the financial services industry within audit or compliance.
Prior supervisory or management experience
Completion of the American Bankers Association (ABA) Compliance School or CRCM certification
Ability to work independently within a matrixed environment
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.
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