The Risk & Compliance Analyst "R&CA" partners with Client Advisors, Trust Advisors, Client Facing Investment Professionals (collectively "Advisors") to manage the financial and reputational risk associated with the fiduciary investment management process. The R&CA works with Advisors and offshore teammates to ensure accurate, timely completion of investment Reg 9 reviews. The R&CA proactively reviews exceptions and works with Advisors & Management to take the appropriate steps to eliminate, mitigate and/or escalate exceptions, while also tracking progress and verifying resolution to ensure SunTrust's compliance with internal policies and regulatory/legal requirements. The R&CA ensures required documentation is produced by offshore team and provides quality control of same. The R&CA delivers documents to clients directly through mail or to Advisors for presentation to clients, tracks for completion and ensures documentation is properly signed, filed and processed according to policy. Assists in the education, communication and reinforcement of fiduciary investment policies and regulations. In addition the R&CA may provide assistance with client and prospect meeting materials.
Responsible for investment risk management activities for approximately 1750-2000 accounts.
Basic Qualifications: Strong knowledge of trust account types and structures, legal and regulatory standards and internal policies and procedures typically acquired through 2+ years of fiduciary experience. Demonstrated ability to identify issues and work through resolution with line management. Strong organizational, oral and written communication skills. Intermediate/advanced PC skills including Microsoft Word, Excel and database applications.
Preferred Qualifications: 3+ years of industry, trust, fiduciary, investment advisory or support experience. Undergraduate degree in business, accounting or related field.
Responsible for investment risk management activities for approximately 750 -1,000 moderately complex relationships.
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