Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc.

Truist Financial
Charlotte, Atlanta, Richmond
Workplace: OnsiteFull timeUSD 200,000 - 290,000 annuallyFunction: Legal, Risk & ComplianceExperience: 12+ yearsEducation: bachelorsSkills: ["Leadership","Communication","Interpersonal skills","Analytical thinking","Risk management"]

Lead the integrated broker-dealer and SEC-registered RIA compliance program and serve as the primary regulatory-facing executive for the firms. Own the compliance framework, supervisory and surveillance controls, risk assessments, and governance escalation. Manage regulatory interactions, implement new SEC/FINRA/MSRB requirements, oversee WSP maintenance and compliance documentation, and provide advisory support while leading and developing a compliance team.

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Truist Financial
Truist Financial
2 months ago

Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc.

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Last checked: 14 hours agoStatus: Live

Job Summary

Lead the integrated broker-dealer and SEC-registered RIA compliance program and serve as the primary regulatory-facing executive for the firms. Own the compliance framework, supervisory and surveillance controls, risk assessments, and governance escalation. Manage regulatory interactions, implement new SEC/FINRA/MSRB requirements, oversee WSP maintenance and compliance documentation, and provide advisory support while leading and developing a compliance team.
Location: Charlotte, Atlanta, Richmond
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: CXO level

Key Responsibilities

  • •Serve as the primary point of contact for regulators and self-regulatory organizations, managing inquiries and examinations.
  • •Establish, implement, and maintain policies, procedures, and internal controls designed to ensure compliance with securities laws and regulations.
  • •Oversee supervisory control and surveillance programs, including periodic testing/monitoring and remediation of compliance risks.
  • •Lead assessment and implementation of new or changing SEC/FINRA/MSRB requirements, coordinating procedure, training, and disclosure updates.
  • •Develop and lead the compliance team, set strategy and performance expectations, and partner cross-functionally to maintain an integrated control environment.

Pay and Benefits

Salary: USD 200,000 - 290,000 annually
Perks:Health InsuranceDentalVisionLife InsuranceDisability401kPaid Leave

Key Requirements

  • •Bachelor’s degree in Business, Economics, Finance, or Accounting (or equivalent education and work experience).
  • •12+ years of financial industry experience, including compliance/risk management and leadership/managerial experience.
  • •Broad-based knowledge applying laws and regulations to design, manage, and oversee compliance programs and handle regulatory matters.
  • •Excellent communication and interpersonal skills for extensive interaction with senior and executive management and business units.
  • •Ability to communicate and work with various regulatory agencies (FINRA Series 7, 14/24, and 66 required).
Experience:12+ yearsFinancial servicesBroker-dealerSEC-registered RIARisk managementComplianceFinancial regulation
Education:Bachelor's
Skills:LeadershipCommunicationInterpersonal skillsAnalytical thinkingRisk management
Licenses:FINRA Series 7FINRA Series 14/24FINRA Series 66
Certifications:Certified Regulatory Compliance Manager (CRCM)
Languages:English
Tech Stack:Microsoft OfficeAIAnalytics

Company Brief

Truist Financial
Provides consumer and commercial banking, wealth management, insurance, lending, and payments services through a large U.S. financial services platform formed by the merger of BB&T and SunTrust.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Charlotte, United States
Founded: 2019
WebsiteLinkedIn