Truist Wealth seeks a Senior Compliance Supervisor to mitigate risk by ensuring that advisors, OSJs and branches comply with industry rules and internal policies. You will oversee broker-dealer activity, review communications, and approve key regulatory documents in a high-volume environment.
The role requires FINRA licensing, Life/Health/Liability Insurance licenses, and 5+ years of supervisory experience in retail brokerage or investment advisory.
#J-18808-LjbffrRegional Wealth Compliance Supervisor in charlotte at Unknown Company
This position is listed as full time and onsite.