Finra Series 53 Jobs (NOW HIRING)

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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:Business risk specialist responsible for supporting and executing governance activities, operational risk monitoring, issue management, remediation tracking, and enterprise risk program implementation across Wealth Management. Serves as a key contributor to operational risk management efforts by providing analysis, coordination, stakeholder support, and governance execution while reinforcing business ownership of risk, operational accountability, and adherence to enterprise governance requirements. Delivers visibility and analysis into operational risk trends, remediation progress, governance priorities, and business readiness activities through ongoing monitoring, reporting, and coordination activities.

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.

Risk Culture & Operational Integration
1. Assess, evaluate, and communicate risk and governance issues, while promoting business ownership of risk and operational accountability through stakeholder engagement.
2. Execute enterprise risk program requirements and governance activities across Wealth Management including assessing, monitoring, and escalating operational, control, and regulatory concerns.
Governance, Reporting & Leadership Support
3. Analyze and interpret KRIs, risk reporting, and remediation activity, coordinating governance actions and commitments to promote accountability and effective risk management outcomes.
4. Facilitate governance forums, escalations, and committee activities, including developing reporting and risk insights to inform leadership decisions and operational oversight.
Business Coordination & Operational Support
5. Partner with ECCO, Compliance, Audit, Legal, and enterprise governance partners to advance governance objectives, stakeholder communication, and remediation efforts.
6. Prepare audit, regulatory, and enterprise review readiness, including operational readiness activities for business initiatives, governance requirements, and enterprise programs.
Business-Specific Risk Support & Execution
7. Assess and understand enterprise risk program activities, including RCSA, issue management, risk monitoring, and remediation tracking across supported business areas.
8. Analyze incidents and risk trends, assess remediation effectiveness, and evaluate process weaknesses to identify risk mitigation opportunities and strengthen governance outcomes.
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 in Business, Finance, Accounting, Risk Management, Economics, Public Administration, Information Systems, or equivalent professional experience
2. 5+ years of experience in operational risk management, governance, compliance, audit, controls, business operations, or related disciplines
3. Strong understanding of operational risk management principles, governance frameworks, issue management processes, remediation oversight activities, and control monitoring practices
4. Experience supporting enterprise risk programs, governance reporting, audits, regulatory examinations, or operational governance activities
5. Ability to analyze operational risks, control concerns, remediation activities, and governance information to identify trends and support management decision-making
6. Strong communication, stakeholder engagement, and coordination skills
7. Experience preparing governance reporting, operational metrics, KRIs, risk summaries, and management materials
8. Ability to manage multiple priorities and coordinate activities across business functions and enterprise partners
9. Strong analytical, organizational, documentation, and problem-solving capabilities
10. Proficiency with Microsoft Office applications, reporting tools, and data analysis techniques

Preferred Qualifications:

1. FINRA Series 7, 24, 53, and 66 licenses (Series 9 & 10 may substitute for Series 53; Series 63 & 65 may substitute for Series

2. Previous experience in a similar role covering Wealth Management

The annual base salary for this position is $115,000 - $145,000.

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 that 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.

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