- Truist (Atlanta, GA)
- …Purpose: Mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs and/or branch offices are in compliance with ... industry rules, regulations as well as internal policies and procedures. Responsibility: Perform supervisory functions that are routinely associated with those of a retail broker/dealer. **Please note: This role can be based anywhere in the Truist footprint.… more
- Truist (Atlanta, GA)
- …States of America) **Please review the following job description:** The Central Supervisor 2 will work closely with Truist Financial Advisors, CSAs, Regional ... following regulatory policy as a Registered Principal for the firm. The Central Supervisor 2 role will perform quality control review and identify training needs.… more