Senior Compliance Officer

Truist

Location: Atlanta, GA or Charlotte, NC

Please review the following job description:

Responsible for conducting and directing compliance risk oversight of digital brokerage, advisory and fiduciary initiatives.

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. Interpret new or existing laws, rules and regulations that are complex and multifaceted and use that knowledge as a subject matter expert to communicate requirements and expectations to assigned areas of responsibility.

2. Analyze existing policies, procedures, processes and controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes.

3. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions.

4. Develop Risk Committee materials, including evaluation of program effectiveness, level and direction of risks, key and emerging risks, and status of previously-identified risk and control issues.

5. Communicate with management and regulators with respect to compliance risk management activities and regulatory examinations.

6. 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.

7. 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.

8. Serve as back-up for Marketing Compliance teammates.

9. Additional tasks as delegated by Supervisor.

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. FINRA Series 7, 24, 63 and 65/66 (required or must be obtained upon hire)

3. Eight years of financial institution experience

4. Five years of direct experience in compliance

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

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

7. Strong team player

Preferred Qualifications:

1. MBA, Juris Doctorate or other advanced degree.

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

3. Prior supervisory or management experience.

4. Certified Regulatory Compliance Manager (CRCM)