Group Supervisory Specialist – location preference – Richmond, VA, Charlotte, NC or Tampa, FL

Local Jobs Truist Financial
  • United States, Tampa, FL 33602 View on Map
  • Post Date : September 16, 2020
  • Apply Before : October 16, 2020
  • Share:

Job Description

Specific information related to the position is outlined below. To apply, click on the button above. You will be required to create an account (or sign in with an existing account). Your account will provide you access to your application information. Need Help?


Should you have a disability and need assistance with the application process, please request a reasonable accommodation by emailing
Accessibility or by calling 877-891-2510. This email inbox is monitored for reasonable accommodation requests only. Any other correspondence will not receive a response.


Regular or Temporary:

Regular


Language Fluency:
English (Required)


Work Shift:

1st shift (United States of America)


Please review the following job description:

Perform supervisory functions routinely associated with a Broker Dealer and Investment Advisory firm. Manage, monitor and enforce internal and regulatory policies, identify trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk to the firm.

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.

  • Review and approve new managed accounts
  • Review and approve managed account documentation related to changes to existing accounts which may include changes to risk target, program changes, fee adjustments, terminations etc.
  • Review and monitor trades through Protegent trade surveillance tool
  • Review managed accounts for ongoing adherence to firm guidelines and related policies
  • Review documented recommendations from advisors to ensure best interest of client is being met
  • Utilize platform tools to review and monitor electronic communication such as email and social media
  • Utilize Envestnet platform to review client accounts to evaluate and monitor system supervisory alerts.


Required Qualifications:

The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

  • FINRA Series 7, 24, 53, 4, (63 & 65 or 66).
  • Life/Health and Variable Annuity Insurance licensed.
  • Retail brokerage and/or investment advisory experience with an emphasis in supervision/compliance.
  • Solid decision-making and judgment capabilities.
  • Sound investigative skills and ability to follow up and manage cases
  • Proficiency in basic computer applications such as Microsoft Office applications and ability to learn internal technology tools and platforms.
  • Strong organizational skills and ability to manage multiple tasks and assignments.

Preferred Qualifications:

  • Bachelor’s Degree in Finance or Business
  • 8 years industry experience
  • Strong written and verbal communication skills
  • Demonstrated ability present ideas effectively to individuals or a group


Truist supports a diverse workforce and is an Equal Opportunity Employer who does not discriminate against individuals on the basis of race, gender, color, religion, national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Drug Free Workplace.

Thank you for your interest in Truist! BB&T and SunTrust have come together in a transformational merger of equals to create Truist, the premier financial organization in the country. You may notice references to our legacy company names, BB&T and SunTrust, in places throughout this site. All such references should be understood to refer to Truist moving forward while we continue to transition to the Truist name.

EEO is the Law Pay Transparency Nondiscrimination Provision E-Verify


Thank you for your interest in Truist! BB&T and SunTrust have come together in a transformational merger of equals to create Truist, the premier financial organization in the country. You may notice references to our legacy company names, BB&T and SunTrust, in places throughout this site. All such references should be understood to refer to Truist moving forward while we continue to transition to the Truist name.

Other jobs you may like

We’ll find you a job for $29 (was $150)

VIEW MORE
Go to Top