Responsible for conducting and directing compliance risk oversight of assigned business units (Broker Dealer) and/or functions. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework.

LOCATION:

Candidate must be located in one of the posted locations; no full remote or relocation being offered, as Truist is operating in a hybrid (3 days in office) model.

• Charlotte, NC

• Atlanta, GA

• Richmond, VA

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. May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts.

8. 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.

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

• Eight years of financial institution experience

• Five years of direct experience in compliance

• Demonstrated experience with 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.

Preferred Qualifications :

• Series 7, 24 certified

• Demonstrated Broker Dealer compliance experience

• Proven compliance experience within a financial services institution

• MBA, Juris Doctorate or other advanced degree.

• Demonstrated experience and knowledge of FINRA, SEC, and MSRB rules, regulatory agencies, requirements, and/or regulatory compliance.