- Truist (Charlotte, NC)
- …States of America) **Please review the following job description:** The Central Supervisor will work closely with Truist Private Financial Advisors, CSAs, ... Regional Operations Managers and Complex Managers. The individual will be a member of a team which functions as the designee of the Principal Manager and performs… more
- Truist (Charlotte, NC)
- …Purpose: Mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs and/or branch offices are in compliance with ... industry rules, regulations as well as internal policies and procedures. Responsibility: Perform supervisory functions that are routinely associated with those of a retail broker/dealer. **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of the… more
- Truist (Charlotte, NC)
- …Purpose: Provide Leadership and Manage Supervision associates. Lead team of experienced advisory Divisional Supervisors tasked with supervisory oversight and ... monitoring of the firm's Investment Advisory business. 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… more
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