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Senior Compliance Director

3 months ago

Charlotte, North Carolina, United States Truist Financial Corporation Full time
The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page.

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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:


Lead a second line compliance oversight team to implement and direct an effective compliance risk management program that sets forth the framework through which the in-scope businesses and functions of Truist Financial Corporation, Truist Bank and their subsidiaries and affiliates shall be overseen to reasonably ensure compliance across activities, products and services.


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.

  • Developing and maintaining a robust compliance program, with a focus on compliance with all laws, regulations, and other guidance related to business and operational activities
  • Identifying and mitigating compliance risks proactively and maintaining a strong regulatory relationship with all applicable regulators
  • Developing sufficient internal controls to promote an effective compliance control environment
  • Performing periodic risk assessments of business and operational activities to identify compliance gaps and potential exposure
  • Partnering with business units to remediate compliance findings identified in internal and external examinations and audits
  • Establishing compliance standards and procedures to mitigate compliance risks and improper conduct, ensuring these standards are institutional throughout the business units, and monitoring compliance with such standards
  • Continuing to improve the compliance function and oversight activities to drive strong relationships across all business lines
  • Provide reports to Risk Committees and provide thought leadership to committees as needed
  • Keep pace of demands of business by anticipating problems, offering appropriate solutions and providing the necessary leadership to implement changes effectively

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, or equivalent education and related training
2. 15 years of financial industry experience, including compliance/risk management and leadership/managerial experience

  • Substantial broad-based knowledge and experience in applying laws and regulations, designing, managing and overseeing compliance programs and processes and handling regulatory matters
  • Demonstrated proficiency in basic computer applications, such as Microsoft Office software products
  • Excellent communication and interpersonal skills, as job will require extensive interaction with various business units among multiple disciplines including Senior and Executive Management
  • Ability to communicate and work with various regulatory agencies
  • Attention to detail, accuracy and the ability to manage multiple tasks and deadlines
  • Strong analytical, organizational and time management skills
  • Ability to conceptualize and assist in building technology into compliance processes in order to gain efficiency and enhance the strength of the Compliance Management System
  • Solid understanding of risk management processes and risk analysis
  • Expert knowledge of broad-based compliance regulations
  • Ability to shift focus to high-risk compliance areas as they change over time
  • Ability to travel, occasionally overnight

For WEALTH Role:

  • FINRA Series 7, 24 and 66

Preferred Qualifications:

  • Master's degree in Finance or Business Administration
  • Juris Doctor or other applicable advanced degree
  • CRCM or other equivalent professional certifications
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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