GCO Risk Advisor I - FINRA

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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:

Engage with Business Unit in its management of risks and controls as well as its execution of risk program requirements. Provide risk and supervisory advice to effectively manage risk within the assigned areas of the Business Unit. A first line of defense supervisory principal within the Governance and Controls Office (GCO), serving as a subject matter expert responsible for effectively and proactively identifying, mitigating, and managing risks for the Wealth Brokerage lines of business. This position will be responsible for supervising the daily transactions for our Financial Advisors including but not limited to securities, mutual funds, UITs, Structured Products and Annuities. The Regional Supervisor will mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs, and/or branch offices are compliant with industry rules and regulations as well as internal policies and procedures. Perform supervisory functions that are routinely associated with those of a retail broker/dealer.

Telecommuting/Remote workstyle may be considered for well-qualified individuals located outside of the Truist footprint. Teammate will work hours supporting Eastern Standard Time

Job Description

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.

• Engage in risk management activities with the line of business, proactively identifying existing and emerging risks through the day-to-day supervisory reviews that are performed.

• Supervisory responsibility for Annuity Principal Review and Approval.Utilize multiple systems to ensure suitability and required documentation has been met.Focus on meeting all regulatory requirements pertaining to transaction review.Perform a holistic view of overall transaction and escalate complex matters to Team Lead and/or Regional Sales Management.

• Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy.

• Implement and enforce internal compliance related procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk to the firm.

• Provide risk management support and oversight for change activities (both business and regulatory change).This would be accomplished in providing regular updates and communication with advisors, Regional Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends, and policy oversights.

• Provide oversight and support for open risk, audit, and regulatory issues.

• Primary reviewer of advisor Regulation Best Interest documentation as it pertains to solicited transactions and trigger events assigned for review by the Central Supervision Group.

• Support the business and the GCO governance & reporting team for all audit and regulatory exam engagements when needed.

• Participate in meetings and calls, representing the Supervision Team when discussing Policies, Products, Systems, and other items that impact the department and our processes.Work alongside the GCO Risk Program Execution team in executing and supporting all risk program activities as defined in policy.

• Execute Enterprise and Risk Program requirements to effectively identify, measure, report, and mitigate risks; Utilize and refine analytical tools as appropriate to support assessments of risk.

• Report and communicate risk results and escalate material concerns to BURM Leadership.

• Support the execution of risk management initiatives at the direction of BURM Leadership.

• Other activities and special projects, as deemed required.

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 Accounting, Business, Finance or related field, or equivalent education and related training.

• Three to Six years of experience in a financial or other institution with emphasis on risk management or equivalent work experience and training.

• Understanding of SOX and other industry-related regulatory requirements.

• Knowledge of operational and other non-financial risks.

• Ability and willingness to learn and adapt to change and competing priorities.

• Strong written and verbal skills.

• Uses judgment but close supervision is required for most tasks.

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

• Ability to travel, occasionally overnight.

Preferred Qualifications:

• FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can be used in lieu of 53, Series 63 & 65 can be used in lieu of Series 66).

• Life/Health and Variable Insurance Licensing

• 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.

• Must have exceptional industry disciplinary history.

• Strong written and verbal communication skills with demonstrated ability to present ideas effectively to a group.

• Solid decision-making and judgment capabilities.

• Sound investigative skills and ability to follow up and manage cases.

• Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations, and operations.

• Strong organizational skills and the ability to multi-task.

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 (~~~/)

. 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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