Chief Compliance Officer; CCO Investment Services, Inc. and Advisory Services, Inc.

Chief Compliance Officer

The Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc. is responsible for leading an integrated broker-dealer and SEC-registered registered investment adviser (RIA) compliance program and serving as the primary regulatory-facing executive for the firms. This role partners closely with business leadership and key control functions to implement and maintain a compliance framework that is reasonably designed to ensure adherence to applicable SEC (including Investment Advisers Act requirements), FINRA, and MSRB regulatory requirements.

• Regulatory face of the broker-dealer and SEC-registered RIA:
Serve as the primary point of contact for regulators and self-regulatory organizations (including the SEC, FINRA, and MSRB), including managing routine interaction, regulatory inquiries, and examinations.

• Compliance program design and oversight:
Establish, implement, and maintain policies, procedures, and internal controls that are reasonably designed to achieve compliance with applicable securities laws and regulations and firm standards.

• Supervision and surveillance:
Oversee the supervisory control framework, surveillance program(s), and periodic testing/monitoring to identify, escalate, and remediate compliance risks; ensure timely issue resolution and sustainable corrective actions.

• Governance and escalation:
Provide clear risk-based guidance to the line of business; escalate material compliance issues and trends through appropriate governance forums and senior management reporting.

• Regulatory reporting and rule implementation:
Lead assessment and implementation of new or changing SEC/FINRA/MSRB requirements; coordinate updates to procedures, training, disclosures, and controls.

• Policies and procedures management:
Own the maintenance cycle for compliance-owned written supervisory procedures (WSPs) and related compliance documentation, including periodic reviews and attestations as required.

• Training and advisory:
Ensure effective compliance communications and training to business partners and registered personnel; provide advisory support on product, sales practice, advertising/communications, and conduct matters.

• Risk assessments:
Conduct and/or oversee periodic enterprise and broker-dealer compliance risk assessments to inform program priorities, monitoring plans, and resource allocation.

• Third-party and vendor oversight:
Oversee compliance due diligence and ongoing monitoring for relevant third parties, as applicable to broker-dealer activities.

• Team leadership:
Lead, develop, and coach a team of compliance professionals; set strategy, goals, and performance expectations aligned to regulatory and business priorities.

• Cross-functional partnership:
Collaborate with Legal, Risk, Audit, Operations, AML/Financial Crimes, Technology, and other control partners to ensure an integrated control environment and consistent regulatory messaging.

• RIA expertise and coordination:
Provide compliance leadership for advisory activities within an SEC-registered RIA framework (including Advisers Act obligations such as disclosures, conflicts management, Code of Ethics oversight, and best execution), and coordinate broker-dealer/RIA requirements to promote consistent client outcomes and a cohesive control environment.

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. 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.

2. Sets strategy and direction of functional area.

3. Scope of coverage may include one or more large business units or compliance functions and management of other managers.

4. Identifying and mitigating compliance risks proactively and maintaining a strong regulatory relationship with all applicable regulators.

5. Developing sufficient internal controls to promote an effective compliance control…