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Regular or Temporary:
Regular
Language Fluency: English (Required)
Work Shift:
1st shift (United States of America)
Please review the following job description:
The specialist is responsible for independently monitoring business information barriers and the protection of MNPI across various forms of communication and media.
Location: Please note, candidate(s) must be located in one of the posted locations. Hybrid work environment (3 days in office). Not a telecommute/remote role.
ESSENTIAL DUTIES AND RESPONSIBILITIES
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
Maintain familiarity with applicable laws, rules and regulations and business processes.
Monitor teammate personal trading activities in accordance with firm policy and applicable regulations.
Review request for approval of teammate outside business activities, outside investments and political contributions.
Chaperone conversations and facilitate communications between Equity Research teammates and Corporate and Investment Banking teammates.
Management of the firm's Watch and Restricted lists.
Review research reports to determine if regulatory safe harbors apply.
QUALIFICATIONS
Required Qualifications:
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Associate degree or equivalent work experience
Broker-dealer experience with knowledge of SEC and FINRA regulations.
Professional communications and presentation skills
Solid PC skills (Word, Excel, PowerPoint).
Preferred Qualifications:
Bachelor's degree or equivalent work experience
Understanding of and experience with regulations related to assigned area
3 years compliance experience. Control Room experience a plus.
The annual base salary for this position is $90,000-$105,000
General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist’s generous benefit plans, please visit our Benefits site (https://benefits.truist.com/)
. Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
Truist supports a diverse workforce and is an Equal Opportunity Employer that does not discriminate against individuals on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Truist is a Drug Free Workplace.
EEO is the Law (https://www.eeoc.gov/sites/default/files/2022-10/EEOC_KnowYourRights_screen_reader_10_20.pdf)
Pay Transparency Nondiscrimination Provision (https://www.dol.gov/sites/dolgov/files/OFCCP/pdf/pay-transp_%20English_formattedESQA508c.pdf)
E-Verify (https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf)