Control Group Specialist
The Compliance Control Group Specialist is a subject matter expert within the Corporate and Investment Banking compliance group and is the initial point of contact with the business for support and interpretation of regulatory and policy compliance matters regarding information barriers and conflicts, among others.
The specialist is responsible for independently monitoring business information barriers and the protection of material non-public information across various forms of communication and media. The specialist will also be responsible for other Control Group activities such as personal trade monitoring, chaperoning and monitoring communications between research analysts and investment bankers, assisting in conflict identification and management, watch and restricted list management, research clearance, outside business activities and investments, and political contributions. Liaise with others in CIB Compliance to provide advice to investment banking, capital markets and research regarding regulatory matters and the control framework, and respond to regulatory inquiries. 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. 5 years of experience in regulatory compliance or the financial services industry such as broker dealer, bank, legal, audit, or risk management; or equivalent. 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. Will consider broader coverage role for candidates with related compliance experience such as investment banking compliance and / or research compliance.
Preferred Requirements: MBA or advanced degree. More than 7 years of regulatory compliance experience. Institutional Broker Dealer compliance experience. Control Room experience, research clearance and compliance monitoring 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 and perform highly complex analysis and tasks. Interpret complex laws and regulations. Qualifications.
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