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Risk Management Advisor I

2 months 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 ensuring compliance with risk program standards. Facilitate, monitor, and execute risk program mandates within designated areas of a Business Unit. Provide strategic risk guidance to effectively manage potential risks in assigned sectors. This role is part of a team that acts as the representative of the Supervising Principal, undertaking administrative supervisory responsibilities typical of a retail broker/dealer and RIA supervising principal in the financial services sector. The supervisory duties may center on the evaluation and acceptance of new accounts, advisory services including account openings, fund transfers, financial planning, and public communications. Adhere to regulatory policies as a Registered Principal for the organization.

Please note: This position is hybrid and can be performed remotely within the Truist operational area.

Key Responsibilities:

  • Conduct comprehensive reviews of new accounts ensuring compliance with regulatory standards.
  • Evaluate and authorize fund transfers and legal documentation.
  • Collaborate with field managers to uphold company and regulatory guidelines.
  • Assess and approve financial plans and public-facing correspondence.
  • Execute supervisory tasks assigned by Principal Managers, including oversight of securities-related activities of registered bank personnel.
  • Communicate risk outcomes and escalate significant issues to Business Unit Risk Management Leadership.
  • Offer risk insights by engaging with relevant Subject Matter Experts (SMEs) and Business Unit Risk Management peers to enhance the control environment and ensure compliance with applicable regulations, policies, and procedures.
  • Identify and address control deficiencies within designated business areas.
  • Participate in additional activities and special projects as required.

Qualifications:

Required Qualifications:

  • Bachelor's degree in Accounting, Business, Finance, or a related discipline, or equivalent education and experience.
  • Three to six years of experience in a financial institution with a focus on risk management or comparable experience.
  • Familiarity with SOX and other relevant industry regulations.
  • Understanding of operational and non-financial risks.
  • Willingness to learn and adapt to evolving priorities.
  • Strong written and verbal communication skills.
  • Ability to exercise judgment, with close supervision required for most tasks.
  • Proficiency in basic computer applications, including Microsoft Office.
  • Willingness to travel occasionally, including overnight trips.

Preferred Qualifications:

  • Master's degree in Finance or Business, or equivalent education and experience.
  • 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).

Benefits Overview:

All regular employees working 20 hours or more per week are eligible for benefits, although specific eligibility may vary by division. Truist offers a comprehensive benefits package, including medical, dental, vision, life insurance, disability coverage, accidental death and dismemberment insurance, tax-advantaged savings accounts, and a 401k plan. Employees are entitled to a minimum of 10 vacation days during their first year, along with 10 sick days and paid holidays.