Premier Branch Supervisory Risk Leader

Truist

Premier and Branch Supervisory and Risk Leader managing compliance and risk for banking. Driving policy, operational control, and regulatory readiness across Premier and Branch banking.

Posted 6/3/2026full-timeCharlotte • Florida, North Carolina, Virginia • 🇺🇸 United StatesSeniorWebsite

About the role

Key responsibilities & impact

Manage supervisory performance for 20-25 Premier Supervising Principals
Provide escalated coaching, mentoring, and training for leaders and their team as needs are identified
Evaluate and optimize business processes to improve efficiency while maintaining adherence to control standards and risk tolerance
Assess operational impacts and governance requirements related to client migration, product changes, and system enhancements; develop mitigation plans in partnership with risk and operations partners
Ensure operational escalations, control breaks, near misses, and emerging risks are communicated promptly to leadership and followed by documented action plans
Actively participate in Senior Leadership committees and Working Groups
Lead and oversee execution of Premier and Branch Banking’s regulatory compliance framework, ensuring all operational processes, supervisory routines, and frontline behaviors adhere to FINRA, SEC, Federal Reserve, CFPB, OCC, and Truist enterprise policies
In the absence of the Director—or as delegated—serve as primary compliance liaison with Wealth Compliance, CSBB Compliance, Internal Audit, Enterprise Risk, and Regulatory Relations for inquiries, reviews, and escalations involving Premier and Branch Banking
Responsible for ensuring Premier Banking satisfactory annual audit results of minimal to no significant findings
Oversee and maintain full governance of FINRA licensing and registration requirements for Premier and Branch teammates, including onboarding, termination filings, continuing education, supervisory controls, and required attestations
Ensure all supervisory controls satisfy Truist’s Three Lines of Defense framework, including proactive control testing, documentation of mitigants, certification routines, and issue management
Manage governance of regulatory documentation—including policies, procedures, job aids, supervisory manuals, and licensing documentation—to ensure alignment with enterprise policy hierarchy and regulatory requirements
Oversee onboarding compliance routines for Premier advisors and licensed teammates, ensuring alignment with supervisory principal reviews, U4/U5 processes, OBA/CE filings, background checks, and registration maintenance

Requirements

What you’ll need

Bachelor’s degree or equivalent education and professional experience
FINRA Series 7, 24, and 66 licenses (Series 63&65 can be used in lieu of Series 66)
5+ years of supervisory/management experience in financial services
exceptional industry disciplinary history
strong analytical, decision making, and problem-solving skills with the ability to interpret complex regulatory and operational requirements
strong written and verbal communication skills with demonstrated ability to present ideas effectively to a diverse group including Senior Management

Benefits

Comp & perks

medical, dental, vision, life insurance
disability
accidental death and dismemberment
tax-preferred savings accounts
401k plan
no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status)
10 sick days (also prorated)
paid holidays

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

regulatory complianceoperational processessupervisory controlsrisk managementbusiness process optimizationcontrol testinggovernance documentationaudit managementclient migrationsystem enhancements

Soft Skills

coachingmentoringanalytical skillsdecision makingproblem-solvingwritten communicationverbal communicationpresentation skillsleadershipcollaboration

Certifications

FINRA Series 7FINRA Series 24FINRA Series 66FINRA Series 63FINRA Series 65