GCO Issue Validation Consultant - Wholesale

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.

1. Ensure the risk identification, measurement, and monitoring of business processes and activities.

2. Execute testing, root cause analysis, examine key risk metrics to evaluate the effectiveness of established business controls.

3. Make recommendations and provide practical solutions for the update of Business Unit control, policy, procedure, and risk / control documentation;

advise on control enhancements.

4. Assist with the remediation of control failures.

5. Serve as the subject matter expert to assigned business unit(s) for operational or regulatory compliance control implementation, risk mitigation and effective design of controls.

6. Develop and maintain effective channels of communication with Business Unit Risk Management Leaders, Business Unit Leadership, 2nd and 3rd Line of Defense partners regarding activities, trends, and events identified through control monitoring activities.

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. Bachelor’s degree, or equivalent education and related training

2. Eight years of experience in a financial institution with emphasis on risk management, audit and / or line of business specialty

3. Solid knowledge of risk management principles and controls, broad-based business practices, and understanding of business process and regulatory requirements

4. Ability to own projects and drive process change, independent thinking with strong analytical and decision making skills

5. Strong interpersonal skills which allow effective working relationships with various levels within the organization

6. Excellent verbal and written communication skills

7. Excellent time management and organizational skills with the ability to manage multiple projects simultaneously; ability to operate without close supervision

8. Demonstrated proficiency in basic computer applications, such as Microsoft Office software products

Consulting experience at a corporate level

9. Experience in the financial services industry, Wealth Management, Corporate Investment Banking, Commercial Banking, Commercial Real Estate, and / or Lending

10. Understanding of the Registered Investment Advisor (RIA) industry and GIPS standards; FINRA licenses

11. CIA, CPA, CISA, MPA, MBA or advanced degree

12. Demonstrated proficiency in identifying operational, compliance, reputational, strategic, liquidity, market and technology risks

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

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

15. 7+ years progressive work related experience including audit, operations, process engineering, or risk management in the financial services industry

16. Strong knowledge of SOX and other industry-related regulatory requirements.

17. Ability to assess levels of adherence / execution and identify risk / control improvement opportunities in risk management principles / controls, broad based business practices, and Business Unit activities / processes.

18. Project management skills

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.