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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:
The Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. is responsible for leading an integrated broker-dealer and SEC-registered registered investment adviser (RIA) compliance program and serving as the primary regulatory-facing executive for the firms.
This role partners closely with business leadership and key control functions to implement and maintain a compliance framework that is reasonably designed to ensure adherence to applicable SEC (including Investment Advisers Act requirements), FINRA, and MSRB regulatory requirements.
• Regulatory face of the broker-dealer and SEC-registered RIA: Serve as the primary point of contact for regulators and self-regulatory organizations (including the SEC, FINRA, and MSRB), including managing routine interaction, regulatory inquiries, and examinations.
• Compliance program design and oversight: Establish, implement, and maintain policies, procedures, and internal controls that are reasonably designed to achieve compliance with applicable securities laws and regulations and firm standards.
• Supervision and surveillance: Oversee the supervisory control framework, surveillance program(s), and periodic testing/monitoring to identify, escalate, and remediate compliance risks; ensure timely issue resolution and sustainable corrective actions.
• Governance and escalation: Provide clear risk-based guidance to the line of business; escalate material compliance issues and trends through appropriate governance forums and senior management reporting.
• Regulatory reporting and rule implementation: Lead assessment and implementation of new or changing SEC/FINRA/MSRB requirements; coordinate updates to procedures, training, disclosures, and controls.
• Policies and procedures management: Own the maintenance cycle for compliance-owned written supervisory procedures (WSPs) and related compliance documentation, including periodic reviews and attestations as required.
• Training and advisory: Ensure effective compliance communications and training to business partners and registered personnel; provide advisory support on product, sales practice, advertising/communications, and conduct matters.
• Risk assessments: Conduct and/or oversee periodic enterprise and broker-dealer compliance risk assessments to inform program priorities, monitoring plans, and resource allocation.
• Third-party and vendor oversight: Oversee compliance due diligence and ongoing monitoring for relevant third parties, as applicable to broker-dealer activities.
• Team leadership: Lead, develop, and coach a team of compliance professionals; set strategy, goals, and performance expectations aligned to regulatory and business priorities.
• Cross-functional partnership: Collaborate with Legal, Risk, Audit, Operations, AML/Financial Crimes, Technology, and other control partners to ensure an integrated control environment and consistent regulatory messaging.
• RIA expertise and coordination: Provide compliance leadership for advisory activities within an SEC-registered RIA framework (including Advisers Act obligations such as disclosures, conflicts management, Code of Ethics oversight, and best execution), and coordinate broker-dealer/RIA requirements to promote consistent client outcomes and a cohesive control environment.
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.Developing and maintaining a robust compliance program, with a focus on compliance with all laws, regulations, and other guidance related to assigned business and operational activities.
2. Sets strategy and direction of functional area.
3. Scope of coverage may include one or more large business units or compliance functions and management of other managers.
4. Identifying and mitigating compliance risks proactively and maintaining a strong regulatory relationship with all applicable regulators.
5. Developing sufficient internal controls to promote an effective compliance control environment.
6. Performing periodic risk assessments of business and operational activities to identify compliance gaps and potential exposure.
7. Partnering with business units to remediate compliance findings identified in internal and external examinations and audits.
8. Providing strategic leadership to design and implement compliance standards and procedures to mitigate compliance risks and improper conduct, ensuring these standards are institutional throughout the business units, and monitoring compliance with such standards.
9. Provide reports and summaries of compliance risks for aggregation up to Risk Committees.
10. Keep pace of demands of business by anticipating problems, offering appropriate solutions and providing the necessary leadership to implement changes effectively.
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 in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience.
2. Twelve years of financial industry experience, including extensive compliance/risk management and leadership/managerial experience.
3. Substantial broad-based knowledge and experience in applying laws and regulations, designing, managing and overseeing compliance programs and processes and handling regulatory matters.
4. Excellent communication and interpersonal skills, as job will require extensive interaction with various business units among multiple disciplines including Senior and Executive Management.
5. Ability to communicate and work with various regulatory agencies.
6. Attention to detail, accuracy and the ability to manage multiple tasks and deadlines.
7. Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
8. Strong analytical, organizational and time management skills.
9. Ability to conceptualize and assist in building technology into compliance processes and re-imagine those processes in order to gain efficiency and enhance the strength of the Compliance Management System.
10. Solid understanding of risk management processes and risk analysis.
11. Advanced knowledge of broad-based compliance regulations.
12. FINRA Series 7, 14/24, and 66
Preferred Qualifications:
1. Master's degree in Finance or Business Administration. Juris Doctor or other applicable advanced degree.
2. Fifteen years of compliance, legal or management experience at large financial institution.
3. Certified Regulatory Compliance Manager (CRCM)
4. Hands-on experience building, enhancing, or overseeing an SEC-registered investment adviser compliance program (e.g., Code of Ethics, best execution oversight, advisory disclosures, and conflicts management).
5. Strong retail brokerage compliance leadership experience, including sales practices supervision, registered representative conduct, customer communications/advertising, and branch/field supervision models.
6. Experience designing and operating monitoring and surveillance programs using advanced analytics and/or AI (e.g., anomaly detection, behavioral surveillance, alert tuning), including model governance, explainability, validation, and appropriate use controls.
7. Experience overseeing retail brokerage product/platform compliance and controls (e.g., mutual funds, ETFs, fixed income, alternatives where applicable), including new product reviews, suitability/sales practice risk assessments, and post-implementation monitoring.
8. Demonstrated ability to establish alert governance (threshold setting, tuning, disposition standards, and QA) and data quality controls to improve surveillance effectiveness and reduce false positives.
9. Experience operating within a large financial institution with complex governance and multiple legal entities.
10. Demonstrated success leading complex SEC and/or FINRA examination responses, including remediation program management and ongoing commitment tracking.
11. Deep expertise in retail investor protections and conflicts management, including broker-dealer Regulation Best Interest (Reg BI) program design, surveillance/testing, and RIA disclosure obligations (e.g., Form ADV, CRS) and related governance.
12. Experience overseeing advertising and communications review programs (including digital and social media) for broker-dealer and advisory businesses.
13. Experience with branch office supervision, OSJ/field supervision models, and supervisory control testing consistent with FINRA expectations.
14. Working knowledge of broker-dealer trading/operations and associated controls (e.g., order handling, best execution, communications/recordkeeping, and books & records).
15. Demonstrated ability to partner effectively with AML/financial crimes, privacy, and information security teams to support a coordinated risk and controls environment.
16. Demonstrated commitment to staying current on emerging technologies and products (e.g., AI-enabled capabilities, digital assets, and prediction markets) and translating evolving regulatory expectations into practical governance, disclosures, and monitoring/surveillance routines.
The annual base salary for this position is $200,000 - $290,000.
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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