Business Unit Risk Specialist - FINRA

About This Role

This role supports the Investment Banking and Capital Markets Business Unit in managing risks and controls, ensuring compliance with enterprise requirements. It involves partnering with stakeholders to mitigate risks and implement control activities.

Responsibilities

• Provide risk support to assigned Business Unit across all risk types to promote and strengthen compliance with applicable regulations, policies, procedures and risk program requirements
• Partner with first- and second-line defense teammates across highly complex business areas in identifying, escalating and in remediating risk control gaps to ensure compliance with Enterprise Risk Management programs and policy
• Monitor and report on emerging risks potentially impactful to Business Unit partners and Truist
• Execute processes and record retention routines necessary to ensure Business Unit compliance with enterprise risk monitoring requirements
• Understand Business Unit goals, provide risk management expertise in strategic projects and seek engagement from appropriate peers for guidance and input
• Execute and facilitate risk program activities including Risk and Control Self Assessments (RCSA), Key Risk Indicators (KRIs) and other thematic trend reviews across Investment Banking and Capital Markets

Requirements

• Bachelor’s degree in Accounting, Business, Finance or related field, or equivalent education and related training
• 5+ years of experience in a financial institution with emphasis on risk management or equivalent
• Experience in compliance and operational risk mitigation and remediation
• Strong communication, interpersonal, presentation and negotiation skills
• Proven leadership and management skills
• Strong time management and organizational skills adaptable to a dynamic and complex work environment
• Capable of handling multiple projects concurrently
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products
• Ability to travel, occasionally overnight

Qualifications

• Bachelor’s degree in Accounting, Business, Finance or related field, or equivalent education and related training
• 5+ years of experience in a financial institution with emphasis on risk management or equivalent work experience and training, and/or equivalent education, training and experience

Nice to Have

• FINRA Series 7
• FINRA Series 66
• FINRA Series 63
• FINRA Series 65

Skills

* Required skills

Benefits