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Compliance Officer I
2 months ago
Job Summary:
We are seeking a highly skilled Risk Program Advisor to join our team at Truist Financial Corporation. As a Risk Program Advisor, you will be responsible for engaging with business units to manage risks and controls, executing risk program requirements, and providing risk advice to effectively manage risk within assigned areas.
Key Responsibilities:
- Thoroughly review new accounts and adhere to regulatory requirements and oversight
- Review and approve financial transactions and legal documents
- Partner with field managers to enforce firm and regulatory policies
- Review and approve financial plans and correspondence for use with the public
- Perform supervisory tasks delegated by principal managers, including oversight of securities-related activity of registered bank teammates
- Report and communicate risk results and escalate material concerns to Business Unit Risk Management (BURM) leadership
- Provide risk advice, through engagement with subject matter experts and BURM peers, to assigned business areas within the business unit across all risk types to strengthen the control environment and support adherence to applicable regulations, policies, and procedures
- Identify and remediate control gaps within assigned business areas
- 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 a related field, or equivalent education and related training
- Three to six years of experience in a financial or other institution with an 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:
- Master's degree in finance or business, or equivalent education and related training
- Six + years of banking or relevant experience
- Audit experience
- Strong knowledge in the field of assigned business unit(s)
- 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)
Benefits:
Eligible employees of Truist Financial Corporation receive a comprehensive benefits package, including medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401(k) plan. Teammates also receive no less than 10 days of vacation during their first year of employment, along with 10 sick days, and paid holidays.
