Business Unit Risk Specialist - FINRA - New York, Atlanta, or Charlotte

Business Unit Risk Specialist - FINRA - New York, Atlanta, or Charlotte

Join to apply for the Business Unit Risk Specialist - FINRA - New York, Atlanta, or Charlotte role at Truist .

The Business Unit Risk Advisor Specialist II-FINRA engages with the Investment Banking and Capital Markets Business Unit stakeholders to support the risk team. In this role, you will manage risks and controls across a highly complex business area while ensuring compliance with enterprise risk programs.

Essential Duties And Responsibilities

• Provide risk support to assigned Business Unit across all risk types to promote and strengthen compliance with applicable regulations, policies, procedures and risk program requirements.
• Partner with first- and second-line defense teammates across highly complex business areas in identifying, escalating and remediating risk control gaps to ensure compliance with Enterprise Risk Management programs and policy.
• Monitor and report on emerging risks potentially impactful to Business Unit partners and Truist. Execute processes and record retention routines necessary to ensure Business Unit compliance with enterprise risk monitoring requirements.
• Understand Business Unit goals, provide risk‑management expertise in strategic projects and seek engagement from appropriate peers for guidance and input.
• Other activities and special projects, as deemed required.

Required Qualifications

• Bachelor’s degree in Accounting, Business, Finance or related field, or equivalent education and related training.
• 5+ years of experience in a financial institution with emphasis on risk management or equivalent work experience and training.
• Experience in compliance and operational risk mitigation and remediation.
• Strong communication, interpersonal, presentation and negotiation skills.
• Proven leadership and management skills.
• Strong time management and organizational skills adaptable to a dynamic and complex work environment; capable of handling multiple projects concurrently.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
• Ability to travel, occasionally overnight.

Preferred Qualifications

• Strongly preferred: FINRA Series 7, and 66 licenses (Series 63 & 65 can be used in lieu of Series 66).
• The annual base salary for this position ranges between $105K-$135K.

Benefits

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 401(k) 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.

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