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Company

Truist · 14 hours ago

GCO Risk Advisor I - Wealth Risk Analyst - FINRA

Winston-Salem, NC

Full-time

Remote

Mid Level

3+ years exp

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Responsibilities

Support Risk Advisors by facilitating engagement with appropriate Subject Matter Experts (SMEs) and GCO peers, to assigned business areas within the Business Unit across all risk types to strengthen control environment (control design, implementation, evaluation, and reporting) and support adherence to applicable regulations, policies, and procedures.

Assist in the execution of the Wealth governance framework, including support of Committees and integration with Working Groups. Ensure adherence to Enterprise Governance standards.

Assist Risk Advisors with identification, measurement, monitoring and escalation of key and emerging risks. Asist Risk Advisors with reporting and communicating risk results and escalate material concerns to GCO Leadership.

Assist with assurance of policy and procedure standards and connectivity to governance framework and risk mitigation activities.

Support vendor management including changes to engagements as merited based on risk and/or regulatory environments.

Assist Risk Advisors with the execution of Enterprise and Risk Program requirements to effectively identify, measure, report, and mitigate risks; Utilize analytical tools as appropriate to support assessments of risk.

Working with Risk Advisors, report and communicate risk results and escalation of material concerns to GCO Leadership.

Support the Risk Advisors with the execution of risk management initiatives at the direction of GCO Leadership.

Other activities and special projects, as deemed required.

Qualification

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Risk ManagementSOX ComplianceMicrosoft OfficeFINRA LicensesOperational Risks

Required

Bachelor’s degree in Accounting, Business, Finance or related field, or equivalent education and related training.

Three to Six years of experience in a financial or other institution with emphasis on risk management or equivalent work experience and training.

Understanding of SOX and other industry-related regulatory requirements.

Knowledge of operational and other non-financial risks.

Ability and willingness to learn and adapt to change and competing priorities.

Strong written and verbal skills.

Uses judgment but close supervision is required for most tasks.

Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

Ability to travel, occasionally overnight.

Preferred

One to three years of experience in a financial or other institution in front line or second line risk management, or equivalent work experience and training.

Knowledge of operational and other non-financial risks.

Strong written and verbal skills.

Ability and willingness to learn and adapt to change and competing priorities.

Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

FINRA Series 7, 24, and/or 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66) (preferred) OR willingness to obtain FINRA Series 7 and 66 licenses.

Bachelor’s degree in Accounting, Business, Finance or related field, or equivalent education/ related training.

Strong knowledge in field of assigned business unit(s).