The Central Supervisor 2 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 administrative supervisory functions that are routinely associated with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and acceptance of new accounts introduced to the firm, money movement and trade corrections. Responsible for following regulatory policy as a Registered Principal for the firm. The Central Supervisor 2 role will perform quality control review and identify training needs.

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. Thorough review of new accounts and adherence to RegBi regulations and oversight

2. Review and approval of money movement request and trade corrections

3. Partner with field managers to enforce firm and regulatory policies

4. Review and approve Financial Plans and correspondence for use with the public

5. Perform supervisory task delegated by Principal Managers including oversight of securities related activity of registered bank teammates

6. Quality Control review of Central Supervisor 1 activity

7. Develop and implement teammate and department training

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. 5 to 7 years of experience in brokerage with an emphasis in compliance, operations or supervisory function

2. Strong written and oral communication skills and detailed oriented

3. Must display strong decision making skills and thorough knowledge of retail rules and regulations and operations

4. Series 7, 66 or (63/65), 24 and Life, Health and Variable insurance license

5. Proficiency with Microsoft Office applications

Preferred Qualifications:

1. Bachelor's degree in Finance and 4 years of Retail Brokerage experience in supervision or compliance

2. National Financial Services platform

3. Salesforce experience