Sr Compliance Officer
Job in
Atlanta, Fulton County, Georgia, 30383, USA
Listing for:
Truist
Full Time, Part Time
position
Listed on 2026-03-03
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 80000 - 100000 USD Yearly
USD
80000.00
100000.00
YEAR
Job Description & How to Apply Below
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.
Interpret new or existing laws, rules and regulations that are complex and multifaceted and use that knowledge as a subject matter expert to communicate requirements and expectations to assigned areas of responsibility.Analyze existing policies, procedures, processes and controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes.Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions.Develop Risk Committee materials, including evaluation of program effectiveness, level and direction of risks, key and emerging risks, and status of previously-identified risk and control issues.Communicate with management and regulators with respect to compliance risk management activities and regulatory examinations.Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies.May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts.Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner.QUALIFICATIONS
Required Qualifications:Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experienceEight years of financial institution experienceFive years of direct experience in complianceDemonstrated experience with regulatory agencies, requirements, and/or regulatory compliance.Strong communication skills, both verbally and written, and the ability to communicate and interact with all levels of managementPreferred Qualifications:Proven Broker/Dealer product knowledge/expertise.Experience in complaint review and resolution and FINRA/SEC regulatory exam management.FINRA Licensed – Series 7 & 24.Eight years of compliance experience, with five years of direct Broker/Dealer experience.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.
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