Job DescriptionResponsible for developing and coordinating the compliance program for SunTrust's retail, institutional investment sales and brokerage functions, and/or investment advisory functions. Coordinates the review and interpretation of new and pending laws, rules and regulations that potentially affect the Company's investment sales and advisory operations. Directs and assists assigned staff with the development or revision of policies and procedures to ensure compliance. Directs assigned staff and conducts on-site compliance reviews in investment sales and advisory offices, directs and conducts on-going account reviews in headquarters office. Works with management and staff in areas of the Company affected by alteration in business practices to ensure understanding and implementation of new policies and procedures. Represents the Company in routine dealings with regulatory bodies, outside auditors and other external constituents.
Serves as Deputy Director of Brokerage Compliance with responsibility for all areas of Brokerage Compliance including the direct management of compliance staff and counseling managers on compliance matters. Single incumbent position.Qualifications Basic Qualifications:
- College degree or equivalent related work experience.
- 5 years experience within the financial services environment with demonstrated strong knowledge of standard compliance concepts, laws, regulations, practices and policies associated with the industry.
- Strong analytical, problem solving and project management 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