Wealth Central Supervision Specialist/Risk Advisor

The Wealth Central Supervision Specialist will work closely with Truist Financial Advisors, CSAs, Regional Support Managers and Regional Directors and other registered personnel. The individual will be a member of a team which functions as the designee of the Principal Manager and performs administrative supervisory functions that are routinely associated with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and acceptance of new accounts introduced to the firm, money movement, financial plans, and communication with the public. Responsible for following regulatory policy as a Registered Principal for the firm. The role will perform quality control review and identify training needs.

Please note: This role can be based anywhere in the Truist footprint. This role is 3 days onsite and 2 days remote.

ESSENTIAL DUTIES AND RESPONSIBILITIESFollowing 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. Thorough review of new accounts, legal documents and working knowledge of AML requirements including knowledge of Beneficial Ownership and Control Persons2. International Wealth Management Subject Matter Expert reviewing international accounts including entity structuring, assessing risk, analyzing source of funds and wealth, familiarity with NRA requirements and engagement with international clients2. Review and approval of wires and standing payments, proficient in OFAC requirements, ability to identify high risk transactions and know information to request in those situations.3. Familiar with DOL PTE regulation4. Partner with field managers to enforce firm and regulatory policies5. Review and approve Financial Plans and correspondence for use with the public6. Review and approve communication with the public including but not limited to social media and business cards. Proficient in written and verbal communication with International Team and clients7. Perform supervisory task delegated by Principal Managers including oversight of securities related activity of registered bank teammates8. Quality Control review of Central Supervisor 1 activity9. Develop and implement teammate and department training

QUALIFICATIONS 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. 5 to 7 years of experience in brokerage with an emphasis in compliance, operations or supervisory function2. Strong written and oral communication skills and detailed oriented3. Must display strong decision-making skills and thorough knowledge of retail rules and regulations and operations4. Series 7, 66 or (63/65), 24 and Life, Health and Variable insurance license5. Proficiency with Microsoft Office applications

Preferred Qualifications:1. Bachelor’s degree in finance and 4 years of Retail Brokerage experience in supervision or compliance2. National Financial Services platform3. Salesforce experience4. Multilingual is strongly preferred