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Regular or Temporary:

Regular

Language Fluency: English (Required)

English

Work Shift:

1st shift (United States of America)

Please review the following job description:

Support compliance risk management through the performance of compliance reviews; quality control reviews and execution of similar processes. May be responsible for a small function or serve as a team member in a larger, more complex function.

LOCATION:

Please note, to be considered for these roles, candidates must be in one of the following location a minimum of 3-4 days per week:

• Charlotte, NC

• Atlanta, GA

• Richmond, VA

No Full Remote/Telecommute. No Relocation Assistance.

ESSENTIAL DUTIES AND RESPONSIBILITIES

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. Maintain familiarity with applicable laws, rules and regulations and business processes.

2. Review documentation, perform testing, and support remediation efforts

3. Reviews regulations, requirements and standards for assigned areas and helps develop related policies, procedures and guidelines.

4. Research, gather an organize documentation for the purposes of responding to complaints, compliance reviews or obtaining documents and information for compliance, audit or the regulators

5. Seek improvements and provide guidance regarding compliance issue identification, root cause analysis and action plan remediation.

6. Support risk assessments and reviews of business processes, procedures and controls.

7. Analyze standard reports and identify opportunities to correct non-compliance.

8. Monitor and analyze routine transactions or compliance monitoring reports and escalates exceptions.

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. Associate degree or equivalent work experience

2. One year of experience reviewing, reporting and organizing compliance data or business information.

3. Demonstrated understanding of compliance concepts and reporting.

4. Professional communications and presentation skills

5. Solid PC skills (Word, Excel, PowerPoint).

Preferred Qualifications:

1. Series 7 and 66 licenses

2. Proven Trade Review experience

3. Understanding of and experience with regulations related to Surveillance

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 (https://benefits.truist.com/)

. 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 supports a diverse workforce and is an Equal Opportunity Employer that does not discriminate against individuals 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.

EEO is the Law (https://www.eeoc.gov/sites/default/files/2022-10/EEOC_KnowYourRights_screen_reader_10_20.pdf)

Pay Transparency Nondiscrimination Provision (https://www.dol.gov/sites/dolgov/files/OFCCP/pdf/pay-transp_%20English_formattedESQA508c.pdf)

E-Verify (https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf)