Truist Universal Banker- Northgate 

United States, North Carolina, Durham 

666026086

Regular or Temporary:

English (Required)

1st shift (United States of America)
Responsibility: Perform supervisory functions that are routinely associated with those of a retail broker/dealer. Actively engage field associates and serve as a dedicated resource for all supervisory functions related to the respective complex/division.

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.

• Serve as primary relationship manager for one or more wealth brokerage complexes. Coordinating issue resolution amongst all of the Wealth Divisional Supervision Specialists that support the complex to provide effective and timely field responses in a coordinated manner.

• Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ensure suitability and required documentation has been met. Focus on meeting all regulatory requirements pertaining to transaction review. Perform a holistic view of complex brokerage transactions and serve as a liaison on behalf of the Centralized Supervision Group for each respective complex.

• Principal Review of electronic client correspondence, retail communications, seminars and social media to ensure regulatory requirements are met which includes but not limited to proper disclosures, fair and balanced communication, adherence to Intellectual Property and Copyright requirements. Coordinate with Divisional Supervisors performing other essential functions within the complex/division to ensure efficient and timely issue resolution.

• Implement and enforce internal compliance related procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk to the firm.

• Provide regular updates and communication with advisors, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights. Serve as the primary resource for field associates in CSG processes for the respective complex/division.

• Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned for review by the Central Supervision Group

• Key contributor to compiling the quarterly supervisory observations report which provides a detailed summary of the advisor activities, trends and issues identified by the Centralized Supervision Group for the complex.

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

• 5 or more 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 to present ideas effectively to a group and the ability to conduct difficult conversations with advisors and leadership.

• 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 are also required. Demonstrated ability to follow a task through completion timely and effectively.

• Exceptional relationship management skills and ability to build rapport with advisors, sales management and product managers.

PREFERRED QUALIFICATIONS

• Bachelor's degree in Finance or Business.

• 7 or more years of regulatory, compliance or supervisory experience

• FINRA Series 4