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Chief Compliance Officer (CCO) for Truist Investment Services, Inc. and Truist Advisory Services, Inc.

Company

Truist

Location

Charlotte, United States

Type

Full time

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.Developing and maintaining a robust compliance program, with a focus on compliance with all laws, regulations, and other guidance related to assigned business and operational activities. 

2. Sets strategy and direction of functional area. 

3. Scope of coverage may include one or more large business units or compliance functions and management of other managers.

4. Identifying and mitigating compliance risks proactively and maintaining a strong regulatory relationship with all applicable regulators.

5. Developing sufficient internal controls to promote an effective compliance control environment.

6. Performing periodic risk assessments of business and operational activities to identify compliance gaps and p...

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