Deputy Chief Compliance Officer Retail Ria

Profile

Deputy Chief Compliance Officer – Retail RIA

The candidate will be developing and maintaining a robust compliance program, with a focus on compliance with all laws, regulations, and other guidance related to assigned business and operational activities. Sets strategy and direction of functional area. Scope of coverage may include one or more large business units or compliance functions and management of other managers. Identifying and mitigating compliance risks proactively and maintaining a strong regulatory relationship with all applicable regulators. Developing sufficient internal controls to promote an effective compliance control environment. Performing periodic risk assessments of business and operational activities to identify compliance gaps and potential exposure. Partnering with business units to remediate compliance findings identified in internal and external examinations and audits. Providing strategic leadership to design and implement compliance standards and procedures to mitigate compliance risks and improper conduct, ensuring these standards are institutional throughout the business units, and monitoring compliance with such standards. Provide reports and summaries of compliance risks for aggregation up to Risk Committees. Keep pace of demands of business by anticipating problems, offering appropriate solutions and providing the necessary leadership to implement changes effectively. Bachelor’s degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience. Fifteen years of financial industry experience, including extensive compliance/risk management and leadership/managerial experience. Substantial broad-based knowledge and experience in applying laws and regulations, designing, managing and overseeing compliance programs and processes and handling regulatory matters. Excellent communication and interpersonal skills, as job will require extensive interaction with various business units among multiple disciplines including Senior and Executive Management. Ability to communicate and work with various regulatory agencies. Attention to detail, accuracy and the ability to manage multiple tasks and deadlines. Demonstrated proficiency in basic computer applications, such as Microsoft Office software products. Strong analytical, organizational and time management skills. Ability to conceptualize and assist in building technology into compliance processes in order to gain efficiency and enhance the strength of the Compliance Management System. Solid understanding of risk management processes and risk analysis. Advanced knowledge of broad-based compliance regulations. MBA, Juris Doctorate or other advanced degree. Fifteen years of compliance, legal or management experience at large financial institution. Certified Regulatory Compliance Manager (CRCM).

Additional Information

Job ID: R0069075.

Company info

Truist Financial Corporation
112 south tryon street
Charlotte
North Carolina
United States 28284
Website : https://www.truist.com/