Truist · 3 hours ago
Wealth Regional Supervisor
Richmond, VA
Full-time
Onsite
Senior Level
5+ years expTruist is a financial services company that is seeking a Wealth Regional Supervisor to mitigate risk for the firm by ensuring compliance with industry rules and regulations. The role involves supervising broker dealer activities, implementing compliance procedures, and communicating with various stakeholders to maintain regulatory standards.
BankingFinanceFinancial Services
Responsibilities
Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ensure suitability and required documentation has been met. Focus on meeting all regulatory requirements pertaining to transaction review. Perform a holistic view of overall transaction and escalate complex matters to Team Lead and/or Divisional Sales Management
Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy
Implement and enforce internal compliance related procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk to the firm
Provide regular updates and communication with advisors, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights
Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned for review by the Central Supervision Group
Review and approve Retail Communications, Seminars and Speaking Engagement requests to ensure regulatory requirements are met which includes but not limited to proper disclosures, fair and balanced communication, adherence to Intellectual Property and Copyright requirements
Qualification
Required
FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66)
Life/Health and Variable Insurance Licensing
5 or more years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance
Must have exceptional industry disciplinary history
Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group
Solid decision-making and judgment capabilities
Sound investigative skills and ability to follow up and manage cases
Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations
Strong organizational skills and the ability to multi-task are also required
Preferred
Bachelor's degree in Finance or Business
7 or more years of regulatory, compliance or supervisory experience
FINRA Series 4
Benefits
Medical
Dental
Vision
Life insurance
Disability
Accidental death and dismemberment
Tax-preferred savings accounts
401k plan
10 days of vacation
10 sick days
Paid holidays
Defined benefit pension plan
Restricted stock units
Deferred compensation plan
Company
Truist
Truist is the sixth-largest commercial bank in the U.S.
10001+ employees
H1B Sponsorship
Truist has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (313)
2024 (247)
2023 (288)
2022 (275)
2021 (278)
2020 (270)
Funding
Current Stage
Late StageTotal Funding
unknown2021-01-01Seed
Leadership Team
Michael Maguire
Chief Financial Officer
James Cordovana
SVP of Cloud Security Enterprise Architect
Recent News
2026-01-16
Bizjournals.com Feed (2025-11-12 15:43:17)
2026-01-15
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