Home Invites Members Groups Events Careers Videos News Photos Blogs Polls Singles Forums Chat
Home > Career Center > Job Seekers > Job Search
Job Title: Wealth Regional Supervisor
Company Name: Truist Financial
Location: Richmond, VA United States
Position Type: Full Time
Post Date: 06/15/2024
Expire Date: 07/15/2024
Job Categories: Banking, Computers, Software, Finance/Economics, Financial Services, Information Technology
Job Description
Wealth Regional Supervisor

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.

Need Help?

If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response).

Regular or Temporary:

Regular

Language Fluency: English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

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.

Please note: This role can be based anywhere in the Truist footprint. This role is 3 days onsite and 2 days remote.

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. 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 overall transaction and escalate complex matters to Team Lead and/or Divisional Sales Management.
2. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy.
3. 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.
4. Provide regular updates and communication with advisors, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights
5. Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned for review by the Central Supervision Group.
6. Review and approve Retail Communications, Seminars and Speaking Engagement requests 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.
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. 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)
2. Life/Health and Variable Insurance Licensing
3. 5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
4. Must have exceptional industry disciplinary history.
5. Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.
6. Solid decision-making and judgment capabilities.
7. Sound investigative skills and ability to follow up and manage cases.
8. Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.
9. Strong organizational skills and the ability to multi-task are also required.

Preferred Qualifications:
1. Bachelor's degree in Finance or Business.
2. 7 or more years of regulatory, compliance or supervisory experience
3. FINRA Series 4

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 Truists generous benefit plans, please visit our Benefits site. Depending on the position and division, this job may also be eligible for Truists 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 supports a diverse workforce and is an Equal Opportunity Employer that does not discriminate against individuals 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 LawPay Transparency Nondiscrimination Provision E-Verify

Share |
Contact Information
Contact Name:
Company Name: Truist Financial
Phone Number:
Contact Email:
Website:https://careers.truist.com/us/en/job/TBJTBFUSR0083228EXTERNALENUS/Wealth-Regional-Supervisor?utm_source=hbcuconnect&utm_medium=phenom-feeds
Company Description:

Please visit our employer showcase!
Apply Now | Forward Job to a Friend | More Jobs From This Employer

(Advertise Here)
Who's Online
>> more | invite 
Black America Resources
100 Black Men of America
www.100blackmen.org

Black America's Political Action Committee (BAMPAC)
www.bampac.org

Black America Study
www.blackamericastudy.com

Black America Web
www.blackamericaweb.com

CNN Black In America Special
www.cnn.com/blackinamerica

NUL State of Black America Report
www.nul.org

Most Popular Bloggers
agnes levine has logged 87443 blog subscribers!
tanisha grant has logged 41150 blog subscribers!
dea. ron gray sr. has logged 30301 blog subscribers!
minister jazz' thomas-jones has logged 9838 blog subscribers!
rickey johnson has logged 9286 blog subscribers!
>> more | add 
Latest Jobs
MSP/On-Premise Service Manager with Roth Staffing Companies in Oxnard, CA.
Associate Governmental Program Analyst with California Community Colleges Chancellor's Office in Sacramento, CA.
Economic Development Project Manager II with Delaware in City of Delaware, OH.
City Clerk with Grandview Heights in Grandview Heights, OH.
Senior Business Solutions Manager Sales & Recruiting with Roth Staffing Companies in Denver, CO.
>> more | add