Brokerage Regional Support Director

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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:

This is an in office position.

Responsible for the supervision of Client Service Associates, including their sales support processes and activities. Develop plans and processes in conjunction with Wealth Brokerage sales leaders to ensure the service provided by Client Service Associates and Branch Service Associates continue to align and serve the needs of the Financial Advisor. Be aware of operational and regulatory impacts to the Financial Advisor to ensure appropriate sales support processes are updated and implemented. This position may also serve in a centralized capacity, managing multiple service associates within one location. This position is a Supervisory Principal and serves as a delegate of the Regional Director for many of the required regulatory reviews.

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. 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.

2. Meet regularly with Regional Support Director, Regional Directors, and Regional Managers to ensure appropriate and effective support and risk management is being provided.

3. Monitor operational and regulatory changes for impacts to sales support functions and processes. Pursue solutions to challenges presented by those impacts.

4. 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.

5. Approve operational, complaint and regulatory review submissions and forms when manager approval is required.

6. Oversee training, performance evaluations, salary adjustments, promotions, transfers, hiring, terminations, timekeeping records and staffing levels for assigned region.

7. Participate in the onboarding process for new teammates and Financial Advisors, including facilities assistance.

8. Work with Regional Directors, Regional Managers, and Supervision to facilitate events and marketing requests.

9. 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.

10. Work with risk and fraud departments on behalf of brokerage clients when necessary.

11. Participate in Working Groups to improve systems and processes used by Wealth Brokerage.

QUALIFICATIONS 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.

1. FINRA Series 7, 66, 24, and Life, Health and Variable.

2. Bachelor’s degree and knowledge of financial institutions with emphasis in operations, supervision or administration.

3. Strong written and oral communication skills.

4. Exceptional decision making and judgment skills.

5. Detail oriented and able to work independently while juggling multiple priorities.

6. Seven or more years of industry experience in a financial institution with emphasis in operations, supervision and/or administration.

7. Bachelor’s degree or equivalent experience and related training.

8. Knowledge of securities markets and brokerage accounts.

9. Knowledge of the features and attributes of annuity products.

10. Effective time management skills.

Preferred Qualifications:

1. FINRA Series 53.

2. Nine years of business experience in retail brokerage with an emphasis in operations, management and supervision.

3. Bachelor’s degree in business, accounting, finance, banking or equivalent education and related training.

4. Banking or Investment securities 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. 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 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 is an Equal Opportunity Employer that does not discriminate 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.

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