Brokerage Compliance & Supervisory Specialist

Truist; Charlotte (NC); On-site; USD 120,000 - 160,000; Full time

Benefits offered by this job

Medical Insurance

Dental Insurance

Vision Insurance

401k Plan

Paid Time Off

Paid Holidays

Disability Insurance

Life Insurance

Job summary

Truist is seeking a Regulatory Compliance Supervisor to mitigate risk and ensure branch offices comply with industry rules and internal policies. You will oversee broker/dealer activities, review communications, and enforce training with teams across the organization.

Ideal candidates hold FINRA licenses (7/24/53/66) and Life/Health licensing, with 5+ years in retail brokerage or investment advisory supervision. Strong communication and investigative skills are essential.

Qualifications

• FINRA licenses required (Series 7, 24, 53, 66) or Series 63/65 in lieu of 66.
• Life/Health and Variable Insurance licensing.
• 5+ years in retail brokerage/investment advisory with supervision/compliance focus.
• Strong written and verbal communication; ability to present to groups.
• Solid decision-making and investigative skills; regulatory knowledge.

Responsibilities

• Supervise Broker Dealer activity including Securities Trading and Annuity Principal review and approval.
• Review Electronic Correspondence/Social Media for regulatory and firm policy compliance.
• Enforce internal compliance procedures and training; identify risk trends and conflicts of interest.
• Provide regular updates to Advisors, Sales Managers and Partners on observations and policy oversights.
• Approving Regulation Best Interest documentation for trigger events per Central Supervision Group.
• Review and approve Retail Communications and Speaking Engagements for regulatory compliance.

Skills

FINRA Series 7

FINRA Series 24

FINRA Series 53

FINRA Series 66

Life/Health Licensing

Variable Insurance Licensing

Regulatory Compliance

Supervision/Management

Communication Skills

Decision Making

Investigative Skills

Education

Bachelor's in Finance or Business

Job description

Truist is seeking a Regulatory Compliance Supervisor to mitigate risk and ensure branch offices comply with industry rules and internal policies. You will oversee broker/dealer activities, review communications, and enforce training with teams across the organization.

Ideal candidates hold FINRA licenses (7/24/53/66) and Life/Health licensing, with 5+ years in retail brokerage or investment advisory supervision. Strong communication and investigative skills are essential.