Sr Compliance Officer at Truist

Compliance Specialist

Responsible for conducting customer complaint review and driving resolution and remediation efforts in accordance with FINRA/SEC rules and regulations. Coordinating and responding to regulatory requests for BD/RIA (FINRA, SEC, and various State regulators). Additional responsibilities may include preparation and presentation of root cause analysis and trend reporting to various business units. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework. This role is in-office five (5) days a week.

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. Interpret new or existing laws, rules and regulations that are complex and multifaceted and use that knowledge as a subject matter expert to communicate requirements and expectations to assigned areas of responsibility.

2. Analyze existing policies, procedures, processes and controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes.

3. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions.

4. Develop Risk Committee materials, including evaluation of program effectiveness, level and direction of risks, key and emerging risks, and status of previously-identified risk and control issues.

5. Communicate with management and regulators with respect to compliance risk management activities and regulatory examinations.

6. 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.

7. May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts.

8. 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.

1. Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience

2. Eight years of financial institution experience

3. Five years of direct experience in compliance

4. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance.

5. Strong communication skills, both verbally and written, and the ability to communicate and interact with all levels of management

Preferred Qualifications:

1. Proven Broker/Dealer product knowledge/expertise.

2. Experience in complaint review and resolution and FINRA/SEC regulatory exam management.

3. FINRA Licensed Series 7 & 24.

4. Eight years of compliance experience, with five years of direct Broker/Dealer experience.