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

Essential duties and responsibilities include:

• 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.
• Setting strategy and direction of functional area.
• Identifying and mitigating compliance risks proactively and maintaining a strong regulatory relationship with all applicable regulators.
• Developing sufficient internal controls to promote an effective compliance control environment.
• Performing periodic risk assessments of business and operational activities to identify compliance gaps and potential exposure.
• Partnering with business units to remediate compliance findings identified in internal and external examinations and audits.
• Providing strategic leadership to design and implement compliance standards and procedures to mitigate compliance risks and improper conduct, ensuring these standards are institutional throughout the business units, and monitoring compliance with such standards.
• Providing reports and summaries of compliance risks for aggregation up to Risk Committees.
• Keeping pace of demands of business by anticipating problems, offering appropriate solutions and providing the necessary leadership to implement changes effectively.

Qualifications:

Required qualifications:

• Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience.
• Twelve years of financial industry experience, including extensive compliance/risk management and leadership/managerial experience.
• Substantial broad-based knowledge and experience in applying laws and regulations, designing, managing and overseeing compliance programs and processes and handling regulatory matters.
• Excellent communication and interpersonal skills, as job will require extensive interaction with various business units among multiple disciplines including Senior and Executive Management.
• Ability to communicate and work with various regulatory agencies.
• Attention to detail, accuracy and the ability to manage multiple tasks and deadlines.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
• Strong analytical, organizational and time management skills.
• Ability to conceptualize and assist in building technology into compliance processes and re-imagine those processes in order to gain efficiency and enhance the strength of the Compliance Management System.
• Solid understanding of risk management processes and risk analysis.
• Advanced knowledge of broad-based compliance regulations.
• FINRA Series 7, 14/24, and 66

Preferred qualifications:

• Master's degree in Finance or Business Administration. Juris Doctor or other applicable advanced degree.
• Fifteen years of compliance, legal or management experience at large financial institution.
• Certified Regulatory Compliance Manager (CRCM)
• Hands-on experience building, enhancing, or overseeing an SEC-registered investment adviser compliance program (e.g., Code of Ethics, best execution oversight, advisory disclosures, and conflicts management).
• Strong retail brokerage compliance leadership experience, including sales practices supervision, registered representative conduct, customer communications/advertising, and branch/field supervision models.
• Experience designing and operating monitoring and surveillance programs using advanced analytics and/or AI (e.g., anomaly detection, behavioral surveillance, alert tuning), including model governance, explainability, validation, and appropriate use controls.
• Experience overseeing retail brokerage product/platform compliance and controls (e.g., mutual funds, ETFs, fixed income, alternatives where applicable), including new product reviews, suitability/sales practice risk assessments, and post-implementation monitoring.
• Demonstrated ability to establish alert governance (threshold setting, tuning, disposition standards, and QA) and data quality controls to improve surveillance effectiveness and reduce false positives.
• Experience operating within a large financial institution with complex governance and multiple legal entities.
• Demonstrated success leading complex SEC and/or FINRA examination responses, including remediation program management and ongoing commitment tracking.
• Deep expertise in retail investor protections and conflicts management, including broker-dealer…