SunTrust Banks Regulatory Control Consultant in Atlanta, Georgia
Req ID: W455580
Job Description Qualified candidates will have experience reviewing and analyzing written and verbal client complaints, responding to regulatory inquiries, submitting Financial Industry Regulatory Authority (FINRA) 4530 filings, submitting U4/U5 filings, familiarity with accessing the FINRA Central Registration Depository (CRD) and Investment Adviser Registration Depository (IARD). Qualifications
- Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience.
- 5 years of work experience including audit, operations, or compliance management.
- Strong knowledge of legal and organizational matters and ability to apply knowledge to issues of all levels of complexity.
- Strong knowledge related to regulatory requirements, and operational risk concepts.
- Advanced PC, communication, leadership, facilitation and presentation skills.
- Demonstrated strong relationship management skills.
- Knowledge of risk management principles and controls, broad-based business practices, and deep understanding of segment/function business processes.
Series 7, Series 24, Series 66 and Insurance Licensed Preferred Qualifications:
MBA or advanced degree.
- Experience in the financial services industry
- Project management skills.
- Ability to work within a matrixed organization.
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 origin, age, disability, veteran status, pregnancy, marital status, citizenship status, sexual orientation, gender identity, genetic information, or any other classification protected by applicable laws.
To review the EEO Poster, copy and paste the following link into your browser: http://www1.eeoc.gov/employers/upload/eeocselfprintposter.pdf http://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCPEEOSupplementFinalJRFQA_508c.pdf
© 2017 SunTrust Banks, Inc. All rights reserved.
SunTrust is federally registered service marks of SunTrust Banks, Inc.