Wealth Brokerage BURM Risk Quality Assurance and Control Manager

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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:

The Quality Assurance and Control Manager oversees the quality control processes for Wealth Brokerage and Supervision:

Support GRC (Archer) reporting for Management Self-Identified Issues (MSI) leveraging an Operational Risk Management framework for the Wealth Brokerage line of business including the risk control self-assessment.  This role is the Business Unit Risk Manager (BURM) designee to receive, inventory and oversee remediation of all B/D and RIA MSI issues. Develop and monitor Key Risk Indicators and Key Performance Indicators Review monthly first line of defense testing, loss events and external event activities.  These reports are added to the risk committee materials. Prepare and support the Wealth Brokerage Risk Committee and Items Requiring Attention Working Group as the Secretary. Serve as the back up for the Brokerage Trading Supervision Manager. 

This position will directly support the Wealth Brokerage Chief Operating Officer and provides additional support as assigned for each of the respective governance committees and working groups.

Requirements:

• FINRA Series 4, 7, 24, 57, and 63 or the ability to obtain missing licenses within 180 days

• Bachelor’s degree and knowledge of financial institutions with emphasis in operational risk, supervision or administration.

• Strong written, PowerPoint and oral communication skills along with exceptional decision making and judgment skills.

• Detail oriented and able to work independently in a fast paced environment while handling multiple priorities at once

• A minimum of 7 years of brokerage industry experience with emphasis in operational risk, supervision and/or administration.

Preferred Requirements:

• FINRA Series 53, and 65 or 66 and the Securities Industry Essentials (SIE) Exam when applicable, and Life, Health and Variable. 

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.