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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:
Senior Compliance Control Group Officer is a subject matter expert within the Compliance group supporting Investment Banking and Capital Markets (“IBCM”) who will be the initial point of contact for providing advice and guidance related to Information Barrier Controls and the flow of material non-public information (“MNPI”).LOCATION- Please note:
**Must be able to work in-office 4-5 days a week**
**IF FINRA Licensed- Must be able to sit in-office 5 days a week**
- Charlotte, NC
- Atlanta, GA
- New York. NY
The ideal candidate will have possess the following qualifications:
- assess materiality of banking opportunities and possess experience maintaining Watch / Restricted and Wall Crossing Lists, as appropriate.
- review and approve research reports discussing issuers on the Watch and Restricted Lists prior to public dissemination.
- chaperone electronic and telephonic communications between Equity Research and Investment Banking.
- In-depth knowledge of SEC Rules 138/139 safe harbors; JOBS Act; Reg M; Global Equity Research Settlement and FINRA Rules 2241, 3210, 3270 and 3280 among others.
- Experience working in a Compliance Control Room and ability to provide guidance in time critical situations.
In addition, the Senior Compliance Control Group Officer will be involved in reviewing the following activities for preclearance: personal trade, outside business activities, private investments, and political contribution requests submitted by teammates for approval.
QUALIFICATIONS
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.
1. Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience
2. Ten years of financial institution experience
3. Eight years of direct experience in compliance
4. Advanced knowledge, ability and expertise in compliance and a broad understanding of financial services
5. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance
6. Solid understanding of risk management processes and risk analysis
7. Strong communication skills, both verbally and written, and the ability to communicate and interact with all levels of management
Preferred Qualifications:
1. College degree with 7 years of relevant experience in regulatory compliance. Analytical and problem solving skills.
2. Strong communication skills, both verbal and written.
3. Effective presentation and facilitation skills.
4. Ability to perform multiple tasks in a fluid environment, and to work both independently and as a member of a team.
5. Candidates with related compliance experience such as investment banking compliance and / or research compliance will also be considered for the role. 6. Institutional Broker-Dealer compliance experience.
7. Control Room experience, research clearance and compliance monitoring
experience.
**The annual base salary for this position is $165K-$175K**
**Additional incentive pay is available for this position**
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.
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