Wealth Regional Compliance Supervisor - Risk & Review

Truist; Atlanta (GA); On-site; USD 80,000 - 120,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401k plan

Paid vacation

Sick days

Job summary

Truist in Atlanta is seeking a Compliance Supervisor to oversee broker dealer activities and ensure adherence to regulations. The ideal candidate will have 5+ years in retail brokerage, strong communication skills, and multiple FINRA licenses.

The role involves reviewing correspondence, approving documents, and implementing compliance procedures. Benefits include a comprehensive health plan and a generous vacation policy.

Qualifications

• 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.

Responsibilities

• Perform supervisory functions associated with the retail broker/dealer.
• Implement and enforce compliance procedures.
• Review and approve Retail Communications and seminars.

Skills

Supervision

Compliance

Communication skills

Decision-making

Investigative skills

Organizational skills

Education

Bachelor's degree in Finance or Business

Tools

FINRA Series 7 License

FINRA Series 24 License

FINRA Series 53 License

FINRA Series 66 License

FINRA Series 63 License

FINRA Series 65 License

Life/Health and Variable Insurance Licensing

Job description

Truist in Atlanta is seeking a Compliance Supervisor to oversee broker dealer activities and ensure adherence to regulations. The ideal candidate will have 5+ years in retail brokerage, strong communication skills, and multiple FINRA licenses.

The role involves reviewing correspondence, approving documents, and implementing compliance procedures. Benefits include a comprehensive health plan and a generous vacation policy.