Risk Management Advisor I

2 weeks ago

Richmond, Virginia, United States Truist Full time

Job Title: Risk Management Advisor at Truist Financial Corporation

Job Overview:

Collaborate with various Business Units to oversee risk and control management while fulfilling risk program obligations. Facilitate, execute, and monitor the implementation of Risk Program mandates within designated areas of a Business Unit. Offer risk guidance to ensure effective risk management within assigned sectors. The individual will be part of a team acting as the representative of the Supervising Principal, performing essential supervisory functions commonly associated with retail broker/dealer and RIA supervising principal roles in the securities sector. These supervisory duties may include the assessment and acceptance of new accounts introduced to the firm, advisory business encompassing new accounts, fund transfers, Financial Plans, and public communications. Responsible for adhering to regulatory policies as a Registered Principal for the organization.

Please note: This position is hybrid and can be based anywhere within the Truist footprint.

Below is a summary of the key responsibilities for this role. Additional tasks may be assigned, both major and minor, which are not specified below. Specific activities may evolve over time.

  • Comprehensive evaluation of new accounts ensuring compliance with RegBi regulations and oversight.
  • Review and sanction fund transfers and legal documentation.
  • Collaborate with field managers to uphold firm and regulatory standards.
  • Assess and authorize Financial Plans and public-facing correspondence.
  • Carry out supervisory tasks delegated by Principal Managers, including oversight of securities-related activities of registered bank personnel.
  • Report and communicate risk outcomes, escalating significant concerns to Business Unit Risk Management (BURM) Leadership.
  • Provide risk insights through collaboration with relevant Subject Matter Experts (SMEs) and BURM colleagues to enhance the control environment and support compliance with applicable regulations, policies, and procedures.
  • Identify and address control deficiencies within assigned business areas.
  • Engage in other activities and special projects as required.

Qualifications

Required Qualifications:

The qualifications listed below represent the knowledge, skills, and/or abilities necessary for this role. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions.

  • Bachelor's degree in Accounting, Business, Finance, or a related field, or equivalent education and training.
  • Three to six years of experience in a financial institution or similar environment with a focus on risk management or equivalent experience and training.
  • Familiarity with SOX and other industry-related regulatory requirements.
  • Understanding of operational and non-financial risks.
  • Willingness to learn and adapt to changing priorities.
  • Strong written and verbal communication skills.
  • Ability to exercise judgment, though close supervision is necessary for most tasks.
  • Demonstrated proficiency in basic computer applications, including Microsoft Office software products.
  • Willingness to travel occasionally, including overnight trips.

Preferred Qualifications:

  • Master's degree in Finance or Business, or equivalent education and training.
  • Over six years of banking or relevant experience.
  • Experience in auditing.
  • In-depth knowledge of the assigned business unit(s).
  • Possession of FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can substitute for 53, Series 63 & 65 can substitute for Series 66).

General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular employees working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may vary by division. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-advantaged savings accounts, and a 401k plan. Employees also receive a minimum of 10 days of vacation during their first year of employment, along with 10 sick days and paid holidays.

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