Posted: February 5, 2020
Truist Financial, formerly BB&T is actively seeking a Compliance Manager to join the team. The ideal candidate would have Financial Svcs experience & Compliance knowledge for the following LoBs; Wealth, Fiduciary, & Institutional (see below for more information). The position can be located in either Charlotte NC, Atlanta GA, or Richmond VA. If interested, please click to the link to apply/see full job description (https://bbt.wd1.myworkdayjobs.com/Careers/job/Charlotte-NC/Compliance-Manager_R0022975).
Oversee specific compliance functions focusing on efficient and effective tactical execution of applicable compliance programs. Monitor compliance with appropriate federal and state laws and regulations for the bank.
1. Work collaboratively with product areas on the development of new/changed products to ensure compliance.
2. Supervise the workflow of the compliance team, which includes planning, overseeing and maintaining the compliance risk controls and reviews throughout the assigned compliance organization, and reviewing, testing, and monitoring procedures, processes and programs, as necessary or required.
3. Coordinate procedural modifications to the written supervisory procedures or compliance manuals.
4. Maintain and review programs to monitor status of supervisory practices within the broker-dealers and/or advisory firms to ensure procedures and policies are reasonably designed to meet applicable regulatory standards.
5. Participate in, facilitate or lead meetings with business units and risk groups to provide effective challenge and regulatory guidance on new initiatives.
6. Monitor new products, marketing and changes to business flow and procedures and analyze initiatives for compliance risks.
7. Analyze complex regulatory changes and the impact those changes have on assigned business units.
8. Analyze existing processes and procedures to determine gaps. Lead any compliance initiatives necessary to implementing changes.
9. Manage the timely identification and escalation of material issues, while monitoring issues for adequate resolution by the business unit management.
10. Coordinate the systems necessary for planning, implementing, monitoring and evaluating the continued compliance with regulatory standards outlined by federal, state and local statutes.
11. Manage retail and institutional communications review for broker-dealers and/or investment adviser.
12. Provide insight on and assist in the preparation of appropriate compliance related committee or working group documentation
13. Support senior management in the review, analysis and approval of consumer complaint responses.
14. Serve as the primary liaison between external regulatory organizations and the bank during bank examinations.
15. Act as a liaison between the bank, external auditors and self-regulatory organizations (SROs) for compliance.
16. Manage portfolio management compliance efforts for the bank
For more details and to apply, please visit: https://bbt.wd1.myworkdayjobs.com/Careers/job/Charlotte-NC/Compliance-Manager_R0022975