Regional Supervisor
1 week ago
We are seeking a highly experienced and skilled Regional Supervisor to join our Wealth Brokerage team. As a key member of our Centralized Supervision Group, you will be responsible for ensuring that our advisors and teams are following industry rules, regulations, and internal policies and procedures.
Key Responsibilities:
- Supervise daily transactions, including securities, mutual funds, UITs, Structured Products, and marketing requests.
- Provide risk advice to effectively manage risk within assigned areas of a Business Unit.
- Aggregate, integrate, correlate, and report risks for assigned areas of a Business Unit to CSG Relationship Managers and to the CSG Leadership Team.
- Review and approve advisor-created marketing material and retail communications for use with the public and clients.
- Coordinate with Regional Supervisors performing other essential functions within the region to ensure timely issue resolution.
Requirements:
- 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).
- 6+ years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
- Exceptional industry disciplinary history.
- Familiar with SEC Marketing Rule and FINRA Communication with the Public Rule 2210.
- Strong written and verbal communication skills with demonstrated ability to present ideas effectively to a group.
- Solid problem-solving skills in complex environments.
- Ability to influence change.
- Excellent time management and organizational skills with the ability to operate without close supervision on day-to-day decisions.
- Capable of handling multiple projects concurrently.
- Exceptional relationship management skills and ability to build rapport with advisors, sales management, and product managers.
- Ability to travel, occasionally overnight.
- Sound investigative skills and ability to follow up and manage cases.
About Truist Inc:
Truist Inc is a leading financial services company that provides a wide range of financial products and services to individuals, businesses, and institutions. We are committed to delivering exceptional customer service and creating value for our stakeholders.
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