Director - Risk & Regulatory Lead / Sales, Trading & Research Director - Risk & Regulatory Lead / Sales, Trading  …

SunTrust Bank
in Atlanta, GA, United States
Permanent, Full time
Be the first to apply
Competitive
SunTrust Bank
in Atlanta, GA, United States
Permanent, Full time
Be the first to apply
Competitive
Director - Risk & Regulatory Lead / Sales, Trading & Research
Job Description :
Job Description
Title:

Director - CIB Risk & Regulatory Execution (Sales, Trading & Research)

Description:

The Risk & Regulatory Execution team manages, develops and documents the overarching CIB Risk & Regulatory processes that encompass all CIB business lines. The team also aids in the development and documentation of risk playbooks and procedures for the sub lines of business to help drive development and execution of risk management. In addition, this team engages as the business lead for Wholesale/Enterprise system implementations impacting CIB and plays an advisory role with the leadership teams to ensure integration points are captured appropriately and effectively. The team also partners with functional teams to ensure CIB risk and regulatory issues are successfully resolved, manage prioritization of technology projects, manage vendor relationships and monitor third party vendor risk status.

Director role on the Corporate & Investment Banking ("CIB") Administration team supports the Head of Administration in helping drive the growth, the prevention of risk and compliance with regulations and laws that impact Sales, Trading & Research.

Duties include but are not limited to the following:

• Ensure that Sales, Trading & Research groups understand risk for their LOB, appropriately mitigate risks and execute according to policy and regulations
• Manage and assist with the build and maintenance of best practices playbooks for Sales, Trading
Research.
• Ensure procedures are documented with ORM and Compliance guidance.
• Document/maintain quality assurance activities, enhance controls within Sales, Trading & Research processes
• Monitor/analyze issues for recurring symptomatic events. Identify and recommend preventative
solutions
• Work with CIB ORM and CIB Compliance to document /report group level KRIs/KPIs
• Ensure compliance/risk training is complete and appropriate
• Manage and continuously enhance Business Continuity Plans, Information Access Management,
• Business Impact Analysis and Disaster Recovery plans are managed, documented and appropriately tested
• Product Owner on technology implementations when applicable to process enhancements such as deal team processes
• Assist with LOB risk execution ensuring LOB has the tools, documents and information as needed.
• Partnership with ORM, Compliance and Audit
• Assist with monitoring ongoing regulatory exam, walkthroughs and audits including consolidated
reporting for senior management level review
• Set up maintain the administrative infrastructure for Sales, Trading & Research including
organizational charts, committee charters, ease of access to risk and training material
• Communicate to Sales, Trading & Research teams regarding applicable new and existing regulation, policies, procedures
• Support annual strategy and investment planning

On February 7, 2019, it was announced that SunTrust Banks, Inc. and BB &T Corporation intend to merge, with the combined entity to be na med Truist Financial Corporation ("Truist"). The merger is subject to regulatory approval, and BB&T and SunTrust remain separate and independent companies until the merger closes. This position, which would be for a role with Truist or an affiliate, is contingent upon the merger receiving regulatory approval and closing

Qualifications
Minimum Requirements:
• BA/BS degree and minimum of 10-12 years' experience working in financial services preferably operational risk, compliance or related field
• In-depth knowledge of investment banking, market, industry sector and/or financial products
• Strong presentation development skills with the ability to effectively summarize complex information and risks in clear and concise reports and deliver it in executive level presentations with precision
• Superior skills in written and oral communications
• Advanced proficiency with Microsoft Office Suite (Word, Excel, PowerPoint and Visio)

Preferred Requirements:
• Proven self-starter with ability to multitask and be resourceful in meeting deadlines with quality results in a fast-paced and changing environment
• Outstanding interpersonal and collaborative skills with the ability to interact, influence, negotiate and communicate effectively with all levels of the organization
• Candidate must be highly analytical with experience in collecting, analyzing, and synthesizing data from multiple sources and identify key issues, develop hypotheses, gather and analyze data to prove / disprove hypotheses, and develop actionable recommendations
• Ability to work cross functionally with diverse personalities
• Strong work ethic and desire to learn continuously
• Excellent leadership and teamwork skills
• Ability to maintain strict confidentiality
On February 7, 2019, it was announced that SunTrust Banks, Inc. and BB &T Corporation intend to merge, with the combined entity to be na med Truist Financial Corporation ("Truist"). The merger is subject to regulatory approval, and BB&T and SunTrust remain separate and independent companies until the merger closes. This position, which would be for a role with Truist or an affiliate, is contingent upon the merger receiving regulatory approval and closing

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/eeoc_self_print_poster.pdf http://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf
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