Serves as the key deputy officer to the STIS CEO with a focus on the day-to-day operations, oversight and supervision of all activities within the broker/dealer (except for Sales, Central Supervision and Compliance). Assists STIS CEO in determining strategies to drive STIS business growth while ensuring regulatory oversight for STIS and minimizing liability to the Bank. Stays abreast with latest regulatory policies and procedures and compliant with required licensing; may represent STIS to interact directly with outside regulators with the assistance from Wealth Investment Management (WIM) Compliance team.
Advises the management team on key planning issues and makes important business decisions on the work STIS undertakes. Participates in all Governance Committees and the pertinent decisioning (including Risk, Product, Investment Policy, Disciplinary, Policy and Procedure). Leads STIS Disciplinary Committee. Ensures all department heads are fully informed of STIS operational objectives. Also conducts regular meetings with department heads to ensure that priorities are clear and coordination is orchestrated. Directly manages STIS Continuing Education, Incentive Management, and Field Operations teams.
- Bachelor’s degree
- Understanding of FINRA, SEC and State Rules and Regulations
15 years of experience working as broker/dealer, investment advisor, insurance agent
- Series 7, 24, 65, 66 and insurance licensed
- Demonstrated ability to lead/plan/manage changes; strong communication and analytical skills
Equal Opportunity Employer: SunTrust supports a diverse workforce and is a Drug Testing and Equal Opportunity Employer. SunTrust does not discriminate against individuals on the basis of race, creed, color, gender, religion, national originTo review the EEO Poster, copy and paste the following link into your browser: http://www1.eeoc.gov/employers/upload/eeoc_self_print_poster.pdf http://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf