Compliance Senior Risk Officer- Securities

Truist

Location: Charlotte, NC or Atlanta, GA or Richmond, VA

Please review the following job description:

Responsible for conducting compliance risk oversight of assigned business units and/or functions. Executes compliance risk management activities to reasonably ensure compliance with the Compliance Risk Management Policy and Framework.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.

1. Maintain an understanding of all applicable laws, rules and regulations applicable to coverage areas and provide regulatory guidance to assigned business unit and/or function associates.

2. Review regulatory changes and assess the impact those changes may have on assigned business units and/or functions.

3. Manage compliance risk management communications, training, documentation, procedures, and processes.

4. Monitor and communicate compliance risk management industry developments.

5. Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies.

6. Assess process, procedure and control documentation and other related compliance issues and documentation to help ensure they are accurate and easily understood by audit and/or external regulatory agencies

7. Consult with business and/or functional units with respect to the design and implementation of controls as needed.

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.

1. Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience.

2. Two years of compliance-related experience

3. Five years of broker-dealer experience

4. Demonstrated working knowledge of standard compliance concepts, practices, policies and related state and federal laws.

5. Detail orientated and strong analytical skills.

6. Strong communication, presentation and facilitation skills; proven ability to interact with all levels of management.

7. Leadership skills to guide and mentor the work of less experienced compliance consultants and analysts.

Preferred Qualifications:

1. Master's degree.

2. 5 years of experience in the financial services industry within audit or compliance.

3. Prior supervisory or management experience.

4. FINRA Series 7, 24 and 66.