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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in client onboarding, maintenance, and offboarding processes within Investment Banking and Capital Markets, with a strong focus on regulatory compliance and operational efficiency. Proven leadership in managing teams and driving strategic initiatives to optimize client integration and lifecycle management.
Highest-signal resume keywords
Client Onboarding ManagementRegulatory Compliance ImplementationTeam Leadership and DevelopmentRisk Management and ControlCapital Markets Knowledge
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Financial Services ExperienceProject ManagementTrade Lifecycle KnowledgeRisk Framework ExpertiseOperational Process Optimization
Soft Skills
Interpersonal SkillsCommunication SkillsNegotiation SkillsOrganizational SkillsProblem-Solving Skills
Tools & Technologies
S&P CLM ProFenergoSalesforceActimizeDealogicCalypsoImpactImagineCompassBloomberg
Certifications & Qualifications
FINRA S7FINRA S244
Industry Keywords
ISDA AmendDodd Frank UMRFINRA TRACEMSRBCATCAISDTCCSwap Dealer OperationsForeign Exchange OperationsBroker Dealer Operations
About the role
Key responsibilities & impact- Oversee onboarding, maintenance, and offboarding activities for Institutional clients across Investment Banking and Capital Markets
- Lead client integration to Truist Securities and/or Truist Bank based on the products associated with each relationship
- Lead teams responsible for onboarding Institutional clients
- Conduct Monthly Business and Operations Reviews covering initiatives, KPIs, and business metrics
- Optimize client integration and lifecycle processes for Investment Banking and Capital Markets products
- Develop and implement programs for new account setup, maintenance, and offboarding
- Consolidate and document operational processes and develop enhanced processes and automated workflow solutions
- Implement operational controls and procedures for regulatory and internal compliance
- Oversee technology solutions and enhancements supporting assigned lending portfolios
- Select, design, and implement processes, systems, and technologies to improve onboarding, maintenance, and offboarding
- Develop strategic goals supporting client onboarding, maintenance, and offboarding operations
- Lead business process transitions, including pilot programs and offshore expansion
- Manage risk activities, controls, findings, and remediation with GCO partners
- Serve as a subject matter expert for auditors, compliance, financial crimes, regulators, and examiners
- Lead meetings with lines of business, peers, GCO, Business Enablement, and other stakeholders
- Manage assigned teammates, including recruitment, retention, development, performance, compensation, promotions, succession planning, training, coaching, and terminations
- Monitor market issues, trends, policies, procedures, and regulations
Requirements
What you’ll need- Bachelor’s degree in Business, Accounting or related field
- 10 years of financial services experience
- Track record in motivating and building strong teams
- Effective relationship building with different levels within the organization
- Excellent interpersonal, communication, negotiation, organizational and problem-solving skills
- Strong leadership/project management capabilities
- Proven experience in a dynamic and fast-paced trading/sales environment
- In-depth knowledge of systems, trade lifecycle, and risk framework within Capital Markets
- Knowledge of ISDA Amend, Dodd Frank UMR rules, FINRA TRACE, MSRB, CAT, CAIS, and DTCC (and SDR)
- Knowledge of Swap Dealer and Foreign Exchange Operations
- Experience managing onshore/offshore processes
- Proven track record managing risks and issues and participating in Risk Control Self-Assessments
- Master’s degree in Business or related field preferred
- Prior leadership role(s) providing related experience preferred
- Knowledge of Broker Dealer Operations preferred
- FINRA licenses S7, S244 preferred
- Knowledge of S&P CLM Pro, Fenergo, Contranet, Salesforce, Actimize, Dealogic, Calypso, Impact, Imagine, Compass, Bloomberg, and Reuters preferred
Benefits
Comp & perks- Medical insurance
- Dental insurance
- Vision insurance
- Life insurance
- Disability insurance
- Accidental death and dismemberment coverage
- Tax-preferred savings accounts
- 401k plan
- At least 10 days of vacation during the first year, prorated
- 10 sick days, prorated
- Paid holidays
- Defined benefit pension plan (depending on position and division)
- Restricted stock units (depending on position and division)
- Deferred compensation plan (depending on position and division)