Senior Compliance Testing Officer

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Regular or Temporary:

Regular

Language Fluency:  English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

Responsible for conducting and directing compliance risk oversight of assigned business units and/or functions. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework.

Compliance Risk Management Testing (CRMT) performs compliance oversight testing and coordinates with Business Unit Compliance Officers as well as other risk stakeholders to address compliance risk and validate sufficient risk mitigation activities are in place, within various lines of business across the enterprise.

The primary focus of this role is to lead multiple complex Compliance testing projects. Candidate will design and manage assigned testing projects in support of testing requests from Business Unit Compliance Officers, Business Unit Risk Managers and other Risk Program Owners. The individual will independently support risk management activities through leading the assigned testing projects, other regulatory-driven activities, and issue management/validation. The role will be the direct contact that helps to ensure connectivity with various business partners and stakeholders and utilizes risk judgment to risk rate findings identified during projects. Role will not manage teammates, but will lead teammates and prioritize work. The role will provide Senior Compliance Analyst (tester) with testing instructions and assess the work completed. Role will also be expected to analyze operations processes and make suggestions to drive best control environment design. Ability to communicate testing results and provide insight into compliance performance will be a key for this role.

ESSENTIAL DUTIES AND RESPONSIBILITIES

1. Interpret new or existing laws, rules and regulations that are complex and multifaceted and use that knowledge as a subject matter expert to communicate requirements and expectations to assigned areas of responsibility.

2. Analyze existing policies, procedures, processes and controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes.

3. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions.

4. Develop Risk Committee materials, including evaluation of program effectiveness, level and direction of risks, key and emerging risks, and status of previously-identified risk and control issues.

5. Communicate with management and regulators with respect to compliance risk management activities and regulatory examinations.

6. Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies.  

7. May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts.

8. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner.

QUALIFICATIONS

Required Qualifications:

1. Bachelor\'s degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience

2. Eight years of financial institution experience

3. Five years of direct experience in compliance

4. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance.

5. Strong communication skills, both verbally and written, and the ability to communicate and interact with all levels of management   

Preferred Qualifications:

1. MBA, Juris Doctorate or other advanced degree.

2. Eight years of compliance experience, with five years at medium to large financial institution

3. Prior supervisory or management experience.

4. Certified Regulatory Compliance Manager (CRCM)

Truist supports a diverse workforce and is an Equal Opportunity Employer who does not discriminate against individuals on the basis of race, gender, color, religion, national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Drug Free Workplace.

Thank you for your interest in Truist! BB&T and SunTrust have come together in a transformational merger of equals to create Truist, the premier financial organization in the country. You may notice references to our legacy company names, BB&T and SunTrust, in places throughout this site. All such references should be understood to refer to Truist moving forward while we continue to transition to the Truist name.