Wealth Relationship Manager - Divisional Supervisor

Job Opportunity

The position is described below :

Dedicated relationship manager for Complex Managers, Divisional Directors and advisors while 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. Serve as a resource for field managers and advisors across multiple CSG teams to more effectively problem solve thereby increasing field and back office productivity. Responsibility : 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.

Essential 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.

• Serve as primary relationship manager for one or more wealth brokerage complexes. Coordinating issue resolution amongst all of the Wealth Divisional Supervision Specialists that support the complex to provide effective and timely field responses in a coordinated manner.
• Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ensure suitability and required documentation has been met. Focus on meeting all regulatory requirements pertaining to transaction review. Perform a holistic view of complex brokerage transactions and serve as a liaison on behalf of the Centralized Supervision Group for each respective complex.
• Principal Review of electronic client correspondence, retail communications, seminars and social media 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 efficient and timely issue resolution.
• 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.
• Provide regular updates and communication with advisors, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights. Serve as the primary resource for field associates in CSG processes for the respective complex / division.
• Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned for review by the Central Supervision Group
• Key contributor to compiling the quarterly supervisory observations report which provides a detailed summary of the advisor activities, trends and issues identified by the Centralized Supervision Group for the complex.

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.

Preferred Qualifications :

General Description of Available Benefits for Eligible Employees of Truist Financial Corporation : All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site. Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and / or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.

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