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Job Title: GCO Sr Risk Advisor II - Specialized Brokerage Wealth Risk Advisor
Company Name: Truist Financial
Location: Charlotte, NC United States
Position Type: Full Time
Post Date: 04/27/2024
Expire Date: 05/27/2024
Job Categories: Banking, Computers, Software, Finance/Economics, Financial Services, Information Technology
Job Description
GCO Sr Risk Advisor II - Specialized Brokerage Wealth Risk Advisor

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Regular or Temporary:


Language Fluency: English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

Serve as a specialized business risk advisor for Wealth Brokerage and primary escalation point for risk, compliance and supervisory issues impacting Wealth Brokerage. Engage with Wealth Brokerage leadership in its management of risks and controls as well as its execution of risk program requirements. Execute, facilitate and/or support the execution of Risk Program requirements within Wealth Brokerage and BURM. Coordinate with key Wealth Brokerage partners including, compliance, supervision, operations, GCO risk advisors, and field leaders on timely and thorough execution of risk program requirements. Provide strategic business risk management insight, risk advice and influence to Wealth Brokerage leaders and partners. In coordination with Wealth Brokerage compliance, supervisory and risk partners, advise on material risk taking and ensure appropriate compensating controls have been agreed to and implemented. Escalate unacceptable risks. Partner with GCO Wealth Risk Advisor team to aggregate, integrate, correlate and report risks for Wealth Brokerage.

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. Providestrategic and tacticaleffective challengefor all risks present within the Business Unit (BU). Concur with key risk decisions and escalate unacceptable or key emerging risks to BU CRO and/or Business Unit Risk Committee.

2. Guide risk-taking behavior. Provide counsel and advice to BU and senior BU leaders.

3. Monitor risk exposures, concentrations and limits. Ensure risk levels stay within risk appetite.

4. Opine on new or revised risk program requirementsto confirm they are consistent with the Banks risk appetite, regulator expectations and industry standard.

5. Identify areas of opportunity to improve risk visibility within BU; develop and implement plan to transform opportunity into new processes and activities.

6. Assist in the development and opine on Risk Appetite Framework metrics and Key Risk Indicators within the BU as well as those defined by the BU for implementation across Truist (where applicable).

7. Advocate the Banks risk culture, compliance with enterprise risk initiatives and promote sound risk management practices.

8. Provide connectivity between the output of risk programs as appropriate. Coordinate with stakeholders to resolve highly complex or challenging issues.

9. Advise on the effectiveness of BU risk and control environment

10. Provide direction and guidance in the development of controls and governance mechanisms within the BU.

11. Execute, facilitate and monitor risk governance mechanisms, including but not limited to, Compliance Risk and Control Self-Assessment (C-RCSA), Risk and Control Self-Assessment (RCSA), key risk indicators, policies, risk committees and other elements of the Enterprise Risk Framework.

12. Monitor issues (all types) assigned to BU, as well as those that have downstream or upstream impact to the BU, and ensure appropriate remediation.

13. In conjunction with Compliance Risk Managementand Legal, monitor BU adherence to applicable policies, laws and regulations.

14. Aggregate, integrate, correlate and report risks.

15. Test controls to confirm design is adequate and they are operating effectively.

16. Communicate to BU senior leadership, regulators and Executive Committees key activities, trends, and events pertaining to risk, regulatory and audit reviews. Continue to promote various risk initiatives and their supporting metrics.

17. Develop and maintain effective ongoing communication with other leaders in the BU and leaders of relevant BUs.

18. Foster a spirit of continuous improvement and offer recommendations to refine and/or enhance Business Unit and BURM processes as necessary.

19. Make recommendations for assigned personnel regarding employment, career development, performance evaluations, salary changes, promotions, transfers and terminations within established policies and guidelines.

20. Other duties, as needed.


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.Bachelors degree in Accounting, Business, Finance or related field, or equivalent education and related training
2.Twelve years of experience in a financial institution with emphasis on risk management or equivalent work experience and training
3.Experience in compliance and operational risk mitigation and remediation

4. Strong communication, interpersonal, presentation and negotiation skills
5.Proven leadership and management skills

6. Strong analytical, problem solving and decision making skills in complex environments and with senior leadership
7.Strong time management and organizational skills adaptable to a dynamic and complex work environment; Capable of handling multiple projects concurrently
8.Demonstrated proficiency in basic computer applications, such as Microsoft Office software products
9.Ability to travel, occasionally overnight

Preferred Qualifications:

1.Masters degree in Finance or Business, or equivalent education and related training
2.15 years of banking or relevant experience

3. 15 years of financial services compliance, risk or supervisory experience

4. Regulatory credentials: FINRA registrations series 7, 24, 63, 65 or 66 and ensures that appropriate continuing education requirements are met where needed

5. Extensive knowledge of current FINRA, SEC, and state regulatory rules, regulation, priorities and trends

6. Extensive knowledge of brokerage and investment advisory product and business offerings

7. Audit experience
8.Professional designation related to risk management or field of assigned business unit(s)

9. Proven skills in influencing, collaborating with others in decision making process across all levels of the organization

10. Strong project management skills with demonstrated success

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

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