Brokerage Regional Support Director

Regular or Temporary:
Regular Language Fluency:
English (Required)

Work Shift:

1st shift (United States of America)

This is an in office position.

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Please review the following job description:

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.

• Manage the Client/Branch Service Associates and their daily activities in support of the Financial Advisor and Regional Director, including addressing escalated issues not resolved by the Client/Branch Service Associate.
• Meet regularly with Regional Support Director, Regional Directors, and Regional Managers to ensure appropriate and effective support and risk management is being provided.
• Monitor operational and regulatory changes for impacts to sales support functions and processes. Pursue solutions to challenges presented by those impacts.
• Work closely with Compliance, Risk, and Supervision regarding inquiries for documentation, licensing, branch openings, communication of updates, letters of indemnity, branch audits, file reviews and other issues as needed.
• Approve operational, complaint and regulatory review submissions and forms when manager approval is required.
• Oversee training, performance evaluations, salary adjustments, promotions, transfers, hiring, terminations, timekeeping records and staffing levels for assigned region.
• Participate in the onboarding process for new teammates and Financial Advisors, including facilities assistance.
• Work with Regional Directors, Regional Managers, and Supervision to facilitate events and marketing requests.
• Facilitate various administrative and operational projects between clients, Financial Advisors, Financial Consultants, and Client Service Associates, such as incoming and outgoing correspondence reviews, continuing education requirements, and access reviews.
• Work with risk and fraud departments on behalf of brokerage clients when necessary.
• Participate in Working Groups to improve systems and processes used by Wealth Brokerage.

• FINRA Series 7, 66, 24, and Life, Health and Variable.
• Bachelor’s degree and knowledge of financial institutions with emphasis in operations, supervision or administration.
• Strong written and oral communication skills.
• Exceptional decision making and judgment skills.
• Detail oriented and able to work independently while juggling multiple priorities.
• Seven or more years of industry experience in a financial institution with emphasis in operations, supervision and/or administration.
• Bachelor’s degree or equivalent experience and related training.
• Knowledge of securities markets and brokerage accounts.
• Knowledge of the features and attributes of annuity products.
• Effective time management skills.

• FINRA Series 53.
• Nine years of business experience in retail brokerage with an emphasis in operations, management and supervision.
• Bachelor’s degree in business, accounting, finance, banking or equivalent education and related training.
• Banking or Investment securities experience.

• 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…