Brokerage Regional Support Director

Truist Financial
United States
Workplace: OnsiteFull timeFunction: Executive & General ManagementEducation: bachelorsSkills: ["Communication","Decision making","Judgment","Detail orientation","Time management"]

Supervise Client Service Associates and Branch Service Associates to support Financial Advisors and Regional Directors, handling escalated service issues and ensuring sales-support processes align with advisor needs. Monitor operational and regulatory changes impacting service workflows, partner with Compliance/Risk/Supervision, and approve required operational and regulatory submissions. Oversee training, evaluations, staffing, hiring, and onboarding across the assigned region, supporting audits, documentation, and improvement working groups.

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Truist Financial
Truist Financial
1 week ago

Brokerage Regional Support Director

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Source: Company careers pageValidated by: Fursa AI
Last checked: 15 hours agoStatus: Live

Job Summary

Supervise Client Service Associates and Branch Service Associates to support Financial Advisors and Regional Directors, handling escalated service issues and ensuring sales-support processes align with advisor needs. Monitor operational and regulatory changes impacting service workflows, partner with Compliance/Risk/Supervision, and approve required operational and regulatory submissions. Oversee training, evaluations, staffing, hiring, and onboarding across the assigned region, supporting audits, documentation, and improvement working groups.
Location: United States
Workplace: Onsite
Employment Type: Full time
Job Function: Executive & General Management
Seniority: Director level

Key Responsibilities

  • •Manage Client/Branch Service Associates and their daily activities in support of the Financial Advisor and Regional Director, addressing escalated issues.
  • •Meet regularly with Regional Support Director, Regional Directors, and Regional Managers to ensure effective support and risk management.
  • •Monitor operational and regulatory changes affecting sales-support processes and pursue solutions to related challenges.
  • •Work with Compliance, Risk, and Supervision on documentation, licensing, branch openings, audits, file reviews, and related inquiries.
  • •Oversee training, performance evaluations, salary adjustments, promotions, transfers, hiring, terminations, timekeeping, and staffing levels for the assigned region.

Pay and Benefits

Equity and Bonus:Equity
Perks:Health InsuranceDentalVisionLife InsuranceDisability401kPaid Holidays

Key Requirements

  • •FINRA Series 7, 66, 24, and Life, Health and Variable licenses.
  • •Bachelor’s degree and knowledge of financial institutions with emphasis in operations, supervision or administration.
  • •Seven or more years of industry experience in a financial institution with emphasis in operations, supervision and/or administration.
  • •Strong written and oral communication skills.
  • •Detail oriented with exceptional judgment and decision-making skills while managing multiple priorities.
Experience:Financial servicesWealth brokerageRetail brokerage
Education:Bachelor's
Skills:CommunicationDecision makingJudgmentDetail orientationTime management
Licenses:FINRA Series 7FINRA Series 66FINRA Series 24Life, Health and Variable
Certifications:FINRA Series 7FINRA Series 66FINRA Series 24FINRA Life, Health and Variable
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