Wealth Business Unit Risk Specialist II - FINRA

About the role

Business risk specialist responsible for supporting and executing governance activities, operational risk monitoring, issue management, remediation tracking, and enterprise risk program implementation across Wealth Management. Serves as a key contributor to operational risk management efforts by providing analysis, coordination, stakeholder support, and governance execution while reinforcing business ownership of risk, operational accountability, and adherence to enterprise governance requirements. Delivers visibility and analysis into operational risk trends, remediation progress, governance priorities, and business readiness activities through ongoing monitoring, reporting, and coordination activities.

Responsibilities

• Risk Culture & Operational Integration
  • Assess, evaluate, and communicate risk and governance issues, while promoting business ownership of risk and operational accountability through stakeholder engagement.
  • Execute enterprise risk program requirements and governance activities across Wealth Management including assessing, monitoring, and escalating operational, control, and regulatory concerns.
• Governance, Reporting & Leadership Support
  • Analyze and interpret KRIs, risk reporting, and remediation activity, coordinating governance actions and commitments to promote accountability and effective risk management outcomes.
  • Facilitate governance forums, escalations, and committee activities, including developing reporting and risk insights to inform leadership decisions and operational oversight.
• Business Coordination & Operational Support
  • Partner with ECCO, Compliance, Audit, Legal, and enterprise governance partners to advance governance objectives, stakeholder communication, and remediation efforts.
  • Prepare audit, regulatory, and enterprise review readiness, including operational readiness activities for business initiatives, governance requirements, and enterprise programs.
• Business-Specific Risk Support & Execution
  • Assess and understand enterprise risk program activities, including RCSA, issue management, risk monitoring, and remediation tracking across supported business areas.
  • Analyze incidents and risk trends, assess remediation effectiveness, and evaluate process weaknesses to identify risk mitigation opportunities and strengthen governance outcomes.

Requirements

• Bachelor's degree in Business, Finance, Accounting, Risk Management, Economics, Public Administration, Information Systems, or equivalent professional experience
• 5+ years of experience in operational risk management, governance, compliance, audit, controls, business operations, or related disciplines
• Strong understanding of operational risk management principles, governance frameworks, issue management processes, remediation oversight activities, and control monitoring practices
• Experience supporting enterprise risk programs, governance reporting, audits, regulatory examinations, or operational governance activities
• Ability to analyze operational risks, control concerns, remediation activities, and governance information to identify trends and support management decision-making
• Strong communication, stakeholder engagement, and coordination skills
• Experience preparing governance reporting, operational metrics, KRIs, risk summaries, and management materials
• Ability to manage multiple priorities and coordinate activities across business functions and enterprise partners
• Strong analytical, organizational, documentation, and problem-solving capabilities
• Proficiency with Microsoft Office applications, reporting tools, and data analysis techniques

Preferred Qualifications

• FINRA Series 7, 24, 53, and 66 licenses (Series 9 & 10 may substitute for Series 53; Series 63 & 65 may substitute for Series 66)
• Previous experience in a similar role covering Wealth Management

Pay

The annual base salary for this position is $115,000 - $145,000.

Benefits

• Medical, dental, vision, life insurance, disability, and accidental death and dismemberment coverage
• Tax-preferred savings accounts and a 401k plan
• No less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during the first year of employment
• 10 sick days (prorated)
• Paid holidays
• Depending on the position and division, eligibility for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan