The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.

Need Help?

If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response).

Regular or Temporary:

Regular

Language Fluency:  English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

Role is responsible for providing legal and regulatory advice to retail broker-dealer and investment adviser affiliates related to the regulation of securities products and investment advisory services to business constituents. The role may also be asked to provide legal advice to an affiliated insurance agency.

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.  

1.            Provide legal and regulatory advice relating to all ongoing activities of Truist Bank’s affiliated retail broker-dealer, registered investment adviser and insurance agency.

2.           Provide counsel to the line of business, compliance and regulatory reporting functions in the drafting of disclosures, and providing responses to regulatory inquiries

3.           Take responsibility for and manage the resolution of complex legal issues where analysis requires identification and evaluation of multiple factors

4.           Coordinate with management and other members of the legal and compliance departments to support resolution of complaints, arbitrations, litigation and other legal matters.

5.           Conducting and/or coordinating legal research with regard to retail broker-dealer, registered investment adviser and insurance laws, rules and regulations (SEC, FINRA, and state law) rules regarding suitability, best interest, supervision, books and records issues, client transaction requirements, and other topics relevant to supporting the business needs of a nationwide retail broker-dealer, registered investment adviser and insurance agency.

6.           Interface on a continuous basis, with colleagues in legal, compliance, supervision, finance, risk, and other control teams to maximize efficiencies, develop cross-business best practices and facilitate resolution of issues

7.           Coordinate with applicable stakeholders to provide legal analysis and advice with respect to new and existing laws, the development/enhancement of processes and procedures, the drafting of disclosures, and regulatory examinations, audits, and inquiries

8.           Provide counsel with respect to applicable state laws and regulations, including securities and insurance licensing requirements

9.           Provide counsel with respect to compliance with Regulation Best Interest, Form CRS, FORM ADV requirements and the SEC RIA Marketing Rule

10.         Fully support the separate Broker Dealer, RIA and Insurance Agency corporate secretarial functions, including drafting of agenda, resolutions and review of minutes.

11.         Educate business partners and work cross-functionally with compliance, supervision, risk and business partners to facilitate compliance with all applicable laws, rules and regulations

12.         Review and draft agreements, memoranda, disclosures, policies and procedures and other documentation relating to the sale and offering of securities and insurance products and RIA channel investment advice

13.         Review and provide advice on communications to sales force, customers, and distribution partners relating to regulatory, operational, financial, and administrative aspects of the business