GCO Risk Advisor I

2 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. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.

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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

The Marketing Supervisor will maintain a focus on mitigating risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures as it pertains to use of Communications with the Public, Marketing Material, Retail Communications and Social Media. Serve as subject matter expert on communications with the public and partner with advisors to coordinate compliant material for use with the public. Perform supervisory functions that are routinely associated with those of a retail broker/dealer. Actively engage field associates and serve as a dedicated resource for all supervisory functions related to aligned region(s).

Please note: This role is in office 4 days a week. Location is open to the Truist Footprint.

  • Provide risk advice, through engagement with appropriate Subject Matter Experts (SMEs) and BURM peers, to assigned business areas within the Business Unit across all risk types to strengthen control environment (control design, implementation, evaluation, and reporting) and support adherence to applicable regulations, policies, and procedures.
  • 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.
  • Serve as Principal reviewer of Advisor created marketing material and retail communications for use with the public and clients. Reviews are conducted according to firm policies and procedures and in coordination with Compliance.
  • Supervisory responsibility for all licensed client facing teammate Social Media activity. The Marketing Supervisor will work closely with teammates to make sure that Social Media profiles and activities conducted are compliant and in line with regulatory standards.
  • Principal Review of Advisor Bio pages, electronic client correspondence, retail communications and seminars to ensure regulatory requirements are met which includes but not limited to proper disclosures, fair and balanced communication, adherence to Intellectual Property and Copyright requirements. Coordinate with Regional Supervisors performing other essential functions within the region to ensure timely issue resolution.
  • 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 regular updates and communication with Advisors, Supervision Relationship Managers, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends, and policy oversights.
  • Report and communicate risk results and escalate material concerns to BURM Leadership.
  • Key contributor for the quarterly supervisory observations report which provides a detailed summary of the advisor activities, trends and issues identified by the Centralized Supervision Group for each Region.
  • Other activities and special projects, as deemed required.
Required Qualifications
  • FINRA Series 7, 24, and 66 licenses (Series 63&65 can be used in lieu of Series 66)
  • Three or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
  • Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210.
  • Must have exceptional industry disciplinary history.
  • Strong written and verbal communication skills with demonstrated ability to present ideas effectively to a group and the ability to conduct difficult conversations with advisors and leadership.
  • 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 are also required. Demonstrated ability to follow a task through completion timely and effectively.
  • Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
Preferred Qualifications
  • Bachelor's degree in Finance or Business
  • 7 or more years of regulatory, compliance or supervisory experience
  • FINRA Series 4 and 53
  • Life Heath and Variable Insurance License
  • Bilingual

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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