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Regular or Temporary:

Regular

**Language Fluency:** English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

Purpose: Provide Leadership and Manage Supervision associates. Assist with escalated items as requested from the team and/or Management. Proactively engage partners within the firm to identify areas for improvement to processes and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures.

Responsibility: Perform supervisory and managerial functions that are routinely associated with those of a retail broker/dealer.

Essential Duties and Responsibilities

+ Manage a team of 4 - 10 Supervisors.

+ Provide coaching and focused training for team as needs are identified.

+ Perform escalated review of complex transactions identified by the Supervision Team.

+ Electronic Correspondence/Social Media Review of direct reports and as needed in support of the department.

+ Effectively communicate policy and procedure changes to the team.

+ Serve as Subject Matter Expert for policy changes.

+ Assist with focused Book of Business reviews conducted by partners within the firm.

+ Review Reg BI advisor documentation per current policies and procedures to ensure compliance with regulation.

+ Serve as primary escalation point of contact for Principal Managers and Business Partners with regard to Supervisory activities.

+ Participate in meetings and calls, representing the Supervision Team when discussing Policies, Products, Systems, and other items that impact the department and our processes.

+ Serve as Supervision representative on firm initiatives.

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.

+ FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66) Life/Health and Variable Insurance Licensing

+ 7 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance. Must have exceptional industry disciplinary history.

+ Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.

+ Solid decision-making and judgment capabilities.

+ Sound investigative skills and ability to follow up and manage cases.

+ Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.

+ Strong organizational skills and the ability to multi-task.

+ Strong understanding of Human Resources.

+ Strong team building skills.

Preferred Qualifications:

+ Bachelor’s degree in Finance or Business.

+ Minimum 2 years of regulatory experience

+ FINRA Series 4 license

**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist’s generous benefit plans, please visit our Benefits site (https://benefits.truist.com/)

. Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.

_Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace._

EEO is the Law (https://www.eeoc.gov/sites/default/files/2022-10/EEOC\_KnowYourRights\_screen\_reader\_10\_20.pdf)

Pay Transparency Nondiscrimination Provision (https://www.dol.gov/sites/dolgov/files/OFCCP/pdf/pay-transp\_%20English\_formattedESQA508c.pdf)

E-Verify (https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify\_Participation\_Poster\_ES.pdf)