Job Description

Job Description :

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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:

Reporting to the STIS Field Operations Manager, the STIS Regional Operations Manager 3 is responsible for managing the daily operations and duties of the STIS Regional Office. The ROM 3 is responsible for supervising the activities of the licensed sales staff as well as training the region on compliance policies and new operational processes and procedures.

ROM 3s manage the regions 12-30 support staff and coordinate with Human Resources on all related matters.

POSITION CAN BE LOCATED AT ANY OF OUR OFFICES IN NC OR SC.

The position also handles operations issues and specialized operations functions for the region, working closely with The Company Investment Services management as appropriate. Accounts Payable processing monitoring of expenses/ budget and management of office administrative processes are also requirements.

ROMs are accountable for the onboarding and transition of new Advisors and their clients.

Minimum Requirements:

FINRA Series 7, 66, 24, the Securities Industry Essentials (SIE) Exam

when applicable, and Life, Health and Variable. Bachelors degree

and knowledge of financial institutions with emphasis in operations,

supervision or administration

Strong written and oral communication skills along with exceptional

decision making and judgment skills. Detail oriented and able to work

independently while juggling multiple priorities.

A minimum of 7 years of industry experience in a financial institution

with emphasis in operations, supervision and/or administration.

Preferred Requirements:

7 to 9 years of business experience in retail brokerage with an

emphasis in operations, management and supervision,

FINRA Series 53

Truist supports a diverse workforce and is an Equal Opportunity Employer who does not discriminate against individuals on the basis of race, gender, color, religion, national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Drug Free Workplace.

Thank you for your interest in Truist! BB&T and SunTrust have come together in a transformational merger of equals to create Truist, the premier financial organization in the country. You may notice references to our legacy company names, BB&T and SunTrust, in places throughout this site. All such references should be understood to refer to Truist moving forward while we continue to transition to the Truist name.

EEO is the Law Pay Transparency Nondiscrimination Provision E-Verify

Thank you for your interest in Truist! BB&T and SunTrust have come together in a transformational merger of equals to create Truist, the premier financial organization in the country. You may notice references to our legacy company names, BB&T and SunTrust, in places throughout this site. All such references should be understood to refer to Truist moving forward while we continue to transition to the Truist name.