Premier and Branch Supervisory and Risk Leader
Job Description
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Regular or Temporary:
RegularLanguage Fluency: English (Required)
Work Shift:
1st shift (United States of America)Please review the following job description:
In accordance with Truist In-Office expectations, this role will be based out of a Truist hub facility, 5 days in office/week.The Premier and Branch Supervisory and Risk Leader reports to Director of Premier Supervisory and Governance and supports Premier and Branch banking in strengthening risk management practices and ensuring regulatory readiness across Premier and Branch banking. This role is accountable for driving consistent policy interpretation, operational control discipline, regulatory compliance, and business enablement initiatives in partnership with Truist Business Units and enterprise risk, compliance, and legal partners.
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. Manage supervisory performance for 20-25 Premier Supervising Principals. Provide escalated coaching, mentoring, and training for leaders and their team as needs are identified.
2. Evaluate and optimize business processes to improve efficiency while maintaining adherence to control standards and risk tolerance.
3. Assess operational impacts and governance requirements related to client migration, product changes, and system enhancements; develop mitigation plans in partnership with risk and operations partners.
4. Ensure operational escalations, control breaks, near misses, and emerging risks are communicated promptly to leadership and followed by documented action plans.
5. Actively participate in Senior Leadership committees and Working Groups.
6. Lead and oversee execution of Premier and Branch Banking’s regulatory compliance framework, ensuring all operational processes, supervisory routines, and frontline behaviors adhere to FINRA, SEC, Federal Reserve, CFPB, OCC, and Truist enterprise policies.
7. In the absence of the Director—or as delegated—serve as primary compliance liaison with Wealth Compliance, CSBB Compliance, Internal Audit, Enterprise Risk, and Regulatory Relations for inquiries, reviews, and escalations involving Premier and Branch Banking.
8. Responsible for ensuring Premier Banking satisfactory annual audit results of minimal to no significant findings.
9. Oversee and maintain full governance of FINRA licensing and registration requirements for Premier and Branch teammates, including onboarding, termination filings, continuing education, supervisory controls, and required attestations.
10. Ensure all supervisory controls satisfy Truist’s Three Lines of Defense framework, including proactive control testing, documentation of mitigants, certification routines, and issue management.
11. Manage governance of regulatory documentation—including policies, procedures, job aids, supervisory manuals, and licensing documentation—to ensure alignment with enterprise policy hierarchy and regulatory requirements.
12. Oversee onboarding compliance routines for Premier advisors and licensed teammates, ensuring alignment with supervisory principal reviews, U4/U5 processes, OBA/CE filings, background checks, and registration maintenance.
QUALIFICATIONS
Required Qualifications:
The requirements listed below are representative of the knowledge, skill and/or ability required.
Bachelor’s degree or equivalent education and professional experience. FINRA Series 7, 24, and 66 licenses (Series 63&65 can be used in lieu of Series 66) 5+ years of supervisory/ management experience in financial services. Must have exceptional industry disciplinary history. Strong analytical, decision making, and problem-solving skills with the ability to interpret complex regulatory and operational requirements. Strong written and verbal communication skills with demonstrated ability present ideas effectively to a diverse group including Senior Management.
Preferred Qualification:
10 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
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.