Senior Compliance Officer - Broker/Dealer
Welcome to Truist Financial, a leading financial institution dedicated to providing exceptional services to our clients. We are seeking a highly experienced and motivated Senior Compliance Officer to join our team and oversee compliance operations for our Broker/Dealer division. As a Senior Compliance Officer, you will play a crucial role in ensuring our company follows all regulatory and legal requirements, as well as maintaining ethical standards. This position requires a strong understanding of the financial industry, excellent communication skills, and a keen eye for detail. If you are a driven individual with a passion for compliance, we encourage you to apply for this exciting opportunity.
- Oversee and manage compliance operations for the Broker/Dealer division of Truist Financial.
- Ensure the company's compliance with all relevant regulatory and legal requirements.
- Develop and implement compliance policies and procedures to mitigate risk and maintain ethical standards.
- Conduct regular audits and reviews to identify any potential compliance issues and provide solutions.
- Stay updated on industry regulations and changes to ensure the company's compliance practices remain current.
- Communicate with relevant departments and stakeholders to ensure understanding and adherence to compliance requirements.
- Train and educate employees on compliance policies and procedures to promote a culture of compliance within the company.
- Collaborate with external regulators and auditors during audits and examinations.
- Investigate and respond to any compliance-related complaints or issues.
- Analyze data and reports to identify trends and areas for improvement in compliance practices.
- Develop and maintain relationships with key stakeholders to facilitate an effective compliance program.
- Prepare and submit required compliance reports to regulatory agencies.
- Proactively identify and address potential compliance risks and provide guidance to mitigate these risks.
- Lead and mentor a team of compliance professionals.
- Represent the company in compliance-related meetings and conferences.
Minimum Of 10 Years Of Experience In The Financial Services Industry, With A Focus On Compliance And Regulatory Requirements For Broker/Dealers.
Extensive Knowledge Of Relevant Laws, Regulations, And Industry Best Practices, Including Finra, Sec, And State Securities Regulations.
Proven Track Record Of Successfully Developing And Implementing Compliance Programs And Ensuring Adherence To Regulatory Requirements.
Strong Leadership And Communication Skills, With The Ability To Effectively Train And Mentor Junior Compliance Staff And Collaborate With Other Teams Within The Organization.
Bachelor's Or Advanced Degree In Business, Finance, Or A Related Field. Professional Certifications Such As Certified Regulatory Compliance Manager (Crcm) Or Certified Securities Compliance Professional (Cscp) Are Preferred.
Communication Skills
Internal controls
Risk assessment
Due Diligence
Policy Development
Compliance monitoring
Investigation Skills
Regulatory Knowledge
Ethical Decision-Making
Audit Preparation
Training And Education
Communication
Conflict Resolution
Leadership
Time management
creativity
Teamwork
collaboration
Adaptability
Problem-Solving
Empathy
According to JobzMall, the average salary range for a Senior Compliance Officer - Broker/Dealer in Charlotte, NC, USA is between $100,000 to $130,000 per year. However, salary can vary depending on factors such as experience, education, and the specific company or industry.
Apply with Video Cover Letter Add a warm greeting to your application and stand out!
Truist Financial Corporation is an American bank holding company headquartered in Charlotte, North Carolina. The company was formed in December 2019 as the result of the merger of BB&T and SunTrust Banks.
Get interviewed today!
JobzMall is the world‘ s largest video talent marketplace.It‘s ultrafast, fun, and human.
Get Started