Registered Investment Advisor Senior Compliance Officer - R0060995

Truist

Location: Atlanta, GA or Richmond, VA

Please review the following job description:

Responsible for conducting compliance risk oversight and subject matter expertise of assigned business units within the Truist Advisory Services Registered Investment Adviser (RIA).

ESSENTIAL DUTIES AND RESPONSIBILITIES

Perform ongoing testing and reviews of RIA policies, procedures, products and operations pursuant to SEC Rule 206(4)-7. Participate and contribute to various RIA compliance and risk management initiatives, committees and working groups. Analyze and provide guidance on complex compliance risks within the RIA business units and/or functions. Serve as primary subject matter expert to the asset management division (Investment Advisory Group) of the RIA. 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. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner. Complete assigned tasks and projects from the Deputy RIA Chief Compliance Officer.

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 Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience.

• 10 years of RIA Compliance Experience.

• Demonstrated experience and knowledge of The Investment Adviser’s Act of 1940, regulatory agencies, requirements, and/or regulatory compliance.

• Strong communication skills, both verbally and written, and the ability to communicate and interact with all levels of management.

• Strong team player.

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. Eight years of financial institution experience

3. Five years of direct experience in compliance

4. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance.

5. Strong communication skills, both verbally and written, and the ability to communicate and interact with all levels of management

Preferred Qualifications:

1. Series 7, 24 and 65 license

2. MBA, Juris Doctorate or other advanced degree.

3. Eight years of compliance experience, with five years at medium to large financial institution

4. Prior supervisory or management experience.

5. Certified Regulatory Compliance Manager (CRCM)

6. 10 years of RIA Compliance Experience.

7. Demonstrated experience and knowledge of The Investment Adviser’s Act of 1940, regulatory agencies, requirements, and/or regulatory compliance.