Wealth Business Unit Risk Specialist II - FINRA

Truist Financial
Charlotte
Workplace: OnsiteFull timeUSD 115,000 - 145,000 annuallyFunction: Legal, Risk & ComplianceEducation: bachelorsSkills: ["Communication","Stakeholder engagement","Coordination","Analytical skills","Problem-solving"]

Support and execute governance activities across Wealth Management, including operational risk monitoring, issue management, remediation tracking, and implementation of the enterprise risk program. Analyze KRIs and risk reporting to provide governance insights, facilitate forums and escalations, and coordinate actions with enterprise partners such as ECCO, Compliance, Audit, Legal, and other stakeholders. Help prepare audit, regulatory, and enterprise review readiness and evaluate risk trends and remediation effectiveness.

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Truist Financial
Truist Financial
1 week ago

Wealth Business Unit Risk Specialist II - FINRA

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Last checked: 22 minutes agoStatus: Live

Job Summary

Support and execute governance activities across Wealth Management, including operational risk monitoring, issue management, remediation tracking, and implementation of the enterprise risk program. Analyze KRIs and risk reporting to provide governance insights, facilitate forums and escalations, and coordinate actions with enterprise partners such as ECCO, Compliance, Audit, Legal, and other stakeholders. Help prepare audit, regulatory, and enterprise review readiness and evaluate risk trends and remediation effectiveness.
Location: Charlotte
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Assess, evaluate, and communicate risk and governance issues while promoting business ownership of risk and operational accountability through stakeholder engagement.
  • •Execute enterprise risk program requirements and governance activities across Wealth Management, including assessing, monitoring, and escalating operational, control, and regulatory concerns.
  • •Analyze and interpret KRIs and remediation activity, coordinating governance actions and commitments to drive accountability and effective risk outcomes.
  • •Facilitate governance forums, escalations, and committee activities, developing reporting and risk insights to inform leadership decisions and oversight.
  • •Partner with ECCO, Compliance, Audit, Legal, and other governance partners to advance objectives, support stakeholder communication, track remediation, and prepare audit and regulatory readiness.

Pay and Benefits

Salary: USD 115,000 - 145,000 annually
Perks:Health InsuranceDentalVisionLife InsuranceDisability Insurance401kPaid LeavePensionRsusPaid Holidays

Key Requirements

  • •Bachelor's degree in Business, Finance, Accounting, Risk Management, Economics, Public Administration, Information Systems, or equivalent experience.
  • •5+ years of experience in operational risk management, governance, compliance, audit, controls, business operations, or related disciplines.
  • •Strong understanding of operational risk management principles, governance frameworks, issue management, remediation oversight, and control monitoring practices.
  • •Experience supporting enterprise risk programs, governance reporting, audits, regulatory examinations, or operational governance activities.
  • •Ability to analyze operational risks, control concerns, remediation activities, and governance information to identify trends and support management decisions.
Experience:Operational risk managementGovernanceComplianceAuditControls
Education:Bachelor's
Skills:CommunicationStakeholder engagementCoordinationAnalytical skillsProblem-solving
Licenses:FINRA Series 7FINRA Series 24FINRA Series 53FINRA Series 66
Languages:English
Tech Stack:Microsoft Office

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