Credit Operations Fulfillment Specialist III

Truist Financial - Atlanta, GA

Part-time,Full-time - Mid Level

Onsite - Atlanta, GA

Credit Intermediation and Related Activities

About the position

The Financial Controller for Securities is responsible for regulatory reporting, accounting, and control activities for Truist Securities, Inc. This role ensures compliance with GAAP, FINRA, and SEC requirements, focusing on broker-dealer reporting. The position requires in-office work with no remote options available.

Responsibilities

• Prepare the weekly Customer Reserve calculation under SEC Rule 15c3-3 for the securities trading business.
• Calculate broker dealer regulatory capital under SEC Rule 15c3-1 for securities trading and underwriting.
• Prepare SEC and Fed disclosures for the loan trading line of business.
• Prepare the quarterly Board of Directors financial statements and annual financial statements for Truist Securities, Inc., along with other financial statements as required.
• Work with internal, external and regulatory auditors, along with risk partners to ensure a high-quality review/audit process in a timely manner.
• Obtain an understanding of the business including systems, reports, accounting, regulations and internal controls.
• Work to build a network and maintain open communication with peers and colleagues, while supporting new initiatives and strategies of the enterprise.
• Accounting for certain capital markets revenue and expense streams, reporting of revenue for management and tax purposes, along with associated SOX, Operational and Compliance control performance.

Requirements

• Bachelor's degree in Accounting, Finance, or equivalent education and related training experience.
• Two or more years of broker dealer regulatory reporting experience or related field/public accounting firm.
• Broad risk and regulatory knowledge with an emphasis on financial and compliance risk.
• Ability to think critically and strategically, multi-task and drive change.

Nice-to-haves

• CPA
• MBA
• FINRA license - e.g. Series 27, Series 99

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• Life insurance
• Disability insurance
• Accidental death and dismemberment insurance
• Tax-preferred savings accounts
• 401k plan
• Vacation days (minimum of 10 days)
• Sick days (minimum of 10 days)
• Paid holidays
• Defined benefit pension plan
• Restricted stock units
• Deferred compensation plan