|Job Location:||Charlotte, NC|
|Job Posted Date:||20-04-2023|
Truist is seeking a Divisional Supervisor in Charlotte, NC. Please take a moment to read the job post below if you are interested:
Please review the following job description:
Marketing review supervisory specialist maintaining a focus on mitigating 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 as it pertains to use of Communications with the Public, Marketing Material, Retail Communications and Social Media. Serve as subject matter expert on communications with the public and partner with advisors to coordinate compliant material for use with the public. Perform supervisory functions that are routinely associated with those of a retail broker/dealer. Actively engage field associates and serve as a dedicated resource for all supervisory functions related to the respective complex/division.
We are open to candidates anywhere within the Truist footprint.
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. Serve as Principal reviewer of Advisor created marketing material and retail communications for use with the public and clients. Reviews are conducted according to firm policies and procedures and in coordination with Compliance.
2. Supervisory responsibility for all licensed client facing teammate Social Media activity. Marketing Review Specialist will work closely with teammates to make sure that Social Media profiles and activities conducted are compliant and in line with regulatory standards.
3. Principal Review of Advisor Bio pages, electronic client correspondence, retail communications and seminars 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. Coordinate with Divisional Supervisors performing other essential functions within the complex/division to ensure timely issue resolution.
4. 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.
5. Provide regular updates and communication with advisors, Supervision Relationship Managers, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights.
6. Key contributor for the quarterly supervisory observations report which provides a detailed summary of the advisor activities, trends and issues identified by the Centralized Supervision Group for each division and complex.
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, and 66 licenses (Series 63&65 can be used in lieu of Series 66)
2. Three or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
3. Must have exceptional industry disciplinary history.
4. Strong written and verbal communication skills with demonstrated ability to present ideas effectively to a group and the ability to conduct difficult conversations with advisors and leadership.
5. Solid decision-making and judgment capabilities.
6. Sound investigative skills and ability to follow up and manage cases.
7. Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.
8. Strong organizational skills and the ability to multi-task are also required. Demonstrated ability to follow a task through completion timely and effectively.
1. Bachelor’s degree in Finance or Business.
2. 7 or more years of regulatory, compliance or supervisory experience
3. FINRA Series 4 and 53
4. Life Heath and Variable Insurance License
Getting the Divisional Supervisor designation comes with some responsibilities. It would be a wise idea to take a few minutes to learn more about it so you can make an informed decision.
Applicants must meet the above-mentioned requirements in order to qualify for consideration to work as a Divisional Supervisor .
By clicking on the apply now button, you will be redirected to the official recruitment website where you can fill out your application.