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Regular or Temporary:

Regular

Language Fluency: English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

Responsible for planning, coordination and supervision of department(s) within brokerage operations. Develop and maintain a full understanding of the products, services and technology related to department(s). Ensure optimum performance for department(s) by directing workflow, assessing needs, developing team members and providing overall leadership.

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.

• Direct the day-to-day operation of department(s) of responsibility to ensure adherence with procedures. Manage inquiries from sales team and/or operational areas.

• Resolve issues and apply strong critical thinking and problem-solving skills to meet the demands of the business.

• Analyze metrics, identify trends/gaps and provide solutions to improve processes and increase efficiency in collaboration with service partners.

• Develop and make recommendations to identify, manage and mitigate operational and regulatory risk

• Work with audit teams (internal and external) and administer effective solutions to findings.

• Remain knowledgeable of current business strategies and contribute as a subject matter expert on regulatory, industry and organizational changes impacting department(s).

• Demonstrate initiative and commitment to continuous learning, and the ability to adapt to the changing demands of the business.

• Work across multiple projects simultaneously while meeting deliverables.

• Coach and mentor subordinates, identify training needs and approve development plans.

• Perform human resource management activities, including interviewing and selecting staff, evaluating performance and identifying performance problems and providing recommendations for remedial action.

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.

• Bachelor's degree or equivalent education, training and work-related experience.

• Minimum of three (3) years experience in brokerage operations, including 2 year in a management position in the securities industry.

• Knowledge of advanced concepts, principles and practices of assigned functional area(s).

• Strong leadership skills to include excellent interpersonal and conflict resolution skills.

• Ability to promote effective coordination between multiple work groups and functional areas.

• Strong organizational, verbal and written communication skills.

• Driven to achieve results, thrive in a fast paced environment and required to solve problems and make decisions based on sound judgement.

• Financial Industry Regulatory Authority (FINRA) Series 99.

PREFERRED QUALIFICATIONS

• Financial Industry Regulatory Authority (FINRA) Series 7 and 24 or 6 and 26.

Truist stands for better

Our relentless pursuit of better at Truist means we’re always looking forward. Pursuing what’s next. Boldly believing in the power of what we can achieve together. Our promise to stand for better means we’re creating smarter and easier experiences for clients. It means we’re connecting people and businesses to build confidence and create meaningful change in lives and communities. And it means we do the right thing, we speak up for those who may not be heard, and we challenge the status quo. Every decision we make starts with this belief in better.

Touch. Technology. Trust

Truist is combining distinctive personal service with investments in innovation to create transformational client experiences. We believe the unique blend of human touch and innovative technology will set us apart, instill confidence, and build deeper levels of trust with our clients

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)