CIB Compliance Business Coverage Specialist
The Compliance Business Coverage Specialist is a subject matter expert aligned with the Corporate and Investment Banking business. The specialist is the initial point of contact with business teammates for support and interpretation of regulatory compliance and policy matters relating to investment banking and capital markets and provides ongoing advisory services.
The specialist is responsible for providing regulatory guidance and coverage of private side activities such as investment & corporate banking, mergers & acquisitions, capital markets originations, and syndicate. The specialist will be responsible for compliance functions relating to sales practices, securities offerings, and deal teams; and coordinates with the control group on various issues such as conflicts and information barriers. Liaise with others in CIB Compliance to provide advice to stakeholders regarding regulatory matters and the control framework, and respond to regulatory inquiries. Acts in a risk oversight role and is responsible for activity monitoring, issue identification and escalation, reporting, impact assessments, tracking of action plan remediation; policy, procedures, process, vendor and product reviews and documentation; supports testing, audits and examinations; conducts training and analyzes actual and emerging risks within complex functions and lines of business.
Minimum Requirements: College degree. 10-15 years of experience in regulatory compliance or the financial services industry such as broker dealer, bank, legal, audit, or risk management; or equivalent. Sound leadership effectiveness and a strong ability to engage with executives. Strong analytical and problem solving skills. Strong communication skills, both verbal and written. Strong presentation and facilitation skills. Ability to perform multiple tasks in a fluid environment, and to work both independently and as a member of a team.
Preferred Requirements: MBA or advanced degree. Institutional Broker Dealer compliance experience. Investment banking and capital markets experience. Demonstrated experience with regulatory agencies and a broad knowledge of legal and organizational matters and the ability to apply knowledge to issues of all levels of complexity. Ability to organize, direct, and perform highly complex analysis and tasks. Interpret complex laws and regulations. 5+ years management experience with demonstrated ability to effectively lead other professionals.
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