Regional Wealth Compliance Supervisor

Truist Wealth; Charlotte (NC); On-site; USD 110,000 - 160,000; Full time

Benefits offered by this job

Medical, dental, vision coverage

401(k) retirement plan

Paid time off and holidays

Job summary

Truist Wealth seeks a Senior Compliance Supervisor to mitigate risk by ensuring that advisors, OSJs and branches comply with industry rules and internal policies. You will oversee broker-dealer activity, review communications, and approve key regulatory documents in a high-volume environment.

The role requires FINRA licensing, Life/Health/Liability Insurance licenses, and 5+ years of supervisory experience in retail brokerage or investment advisory.

Qualifications

• FINRA licenses required: Series 7, 24, 53, 66 (63/65 may substitute for 66).
• Licensing in Life/Health and Variable Insurance is required.
• 5+ years in retail brokerage or investment advisory supervision/compliance.
• Strong written and verbal communication skills.

Responsibilities

• Perform supervisory functions for retail broker/dealer activity.
• Review broker-dealer transactions to ensure suitability and proper documentation.
• Ensure regulatory compliance and identify harmful trends or conflicts of interest.
• Provide updates to advisors, Sales Managers, and business partners.
• Primary approval of Regulation Best Interest documentation for trigger events.
• Review Retail Communications and seminars for regulatory and disclosure standards.

Skills

FINRA licenses

Licensing in Life/Health

Series 4 license

Communication skills

Decision making

Investigative skills

Regulatory knowledge

Organizational skills

Education

Bachelor's degree in Finance or Business

Job description

Truist Wealth seeks a Senior Compliance Supervisor to mitigate risk by ensuring that advisors, OSJs and branches comply with industry rules and internal policies. You will oversee broker-dealer activity, review communications, and approve key regulatory documents in a high-volume environment.

The role requires FINRA licensing, Life/Health/Liability Insurance licenses, and 5+ years of supervisory experience in retail brokerage or investment advisory.