Wealth Regional Supervisor

Truist Financial
Charlotte, Atlanta
Workplace: OnsiteFull timeFunction: Administration & Executive AssistanceExperience: 5+ yearsEducation: bachelorsSkills: ["Written communication","Verbal communication","Decision-making","Investigative skills","Organizational skills"]

Supervise retail broker/dealer and investment activities to mitigate financial, reputation, and regulatory risk. Ensure advisor, OSJ, and branch offices follow industry rules and internal policies, including electronic correspondence and social media review. Perform transaction and Reg BI documentation approvals, evaluate communications and speaking requests for required disclosures and IP compliance, and escalate complex matters to leadership.

Loading

Loading job details...

Preparing the role view and application actions.

FursaFursa
Truist Financial
Truist Financial
2 months ago

Wealth Regional Supervisor

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI
Last checked: 14 hours agoStatus: Live

Job Summary

Supervise retail broker/dealer and investment activities to mitigate financial, reputation, and regulatory risk. Ensure advisor, OSJ, and branch offices follow industry rules and internal policies, including electronic correspondence and social media review. Perform transaction and Reg BI documentation approvals, evaluate communications and speaking requests for required disclosures and IP compliance, and escalate complex matters to leadership.
Location: Charlotte, Atlanta
Workplace: Onsite
Employment Type: Full time
Job Function: Administration & Executive Assistance
Seniority: Manager level

Key Responsibilities

  • •Provide supervisory responsibility for broker-dealer activity, including securities trading and annuity principal review/approval, using multiple systems to ensure suitability and required documentation.
  • •Perform transaction review to meet regulatory requirements and escalate complex matters to Team Lead and/or Divisional Sales Management.
  • •Review electronic correspondence and social media for regulatory compliance and firm policy alignment.
  • •Implement and enforce internal compliance procedures, including training and identification of potentially harmful trends, sales practice patterns, conflicts of interest, or other firm risks.
  • •Approve Reg BI advisor documentation and review/approve retail communications, seminars, and speaking engagements for required disclosures, fair and balanced communication, and IP/copyright adherence.

Pay and Benefits

Perks:Health InsuranceDentalVisionLife InsuranceDisability401kPaid Leave

Key Requirements

  • •Hold FINRA Series 7, 24, 53, and 66 licenses (Series 63 & 65 can be used in lieu of Series 66).
  • •Maintain Life/Health and Variable Insurance licensing.
  • •Have 5+ years of related retail brokerage and/or investment advisory experience with an emphasis in supervision/compliance.
  • •Demonstrate exceptional industry disciplinary history.
  • •Strong written and verbal communication, decision-making, investigative skills, and the ability to manage cases and multi-task.
Experience:5+ years
Education:Bachelor's in Finance or Business
Skills:Written communicationVerbal communicationDecision-makingInvestigative skillsOrganizational skills
Certifications:FINRA Series 7FINRA Series 24FINRA Series 53FINRA Series 66Life/Health licensingVariable insurance licensing
Languages:English

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