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WesBanco · 1 month ago

Compliance Officer - Brokerage - Securities Admin

Bowie, MD

Full-time

Hybrid

Mid Level

$70K/yr - $73K/yr

3+ years exp

WesBanco is a financial institution seeking a Compliance Officer for their Brokerage division. The role involves conducting regulatory monitoring and compliance reviews, providing guidance to staff, and ensuring adherence to applicable laws and regulations.

BankingFinanceFinancial Services

Growth Opportunities

Responsibilities

Maintain ongoing understanding of FINRA rules and regulations; BSA & AML

Assist with the development of WSI's (WesBanco Securities Inc.) risk and compliance management practices and programs

Ability to disseminate written policies and procedures related to compliance activity

Provide compliance guidance to licensed advisors and licensed bankers and support staff

Assist to resolve complaints

Review new accounts for suitability and best interest and day-to-day broker activity

Assist in review and implementation of WSI's compliance program to ensure effectiveness

Assist with testing of procedures and creation of new procedures with changing regulatory needs

Assist in licensing and FINRA Regulatory & Firm Element and insurance continuing education for all licensed individuals

Assist with internal and external audits

Assist with the formulation/taking correction actions when necessary to respond unexpected compliance events

Review communications of advisors

Assist with compliance review of all marketing/sales material

Assist with various communication and training as needed with staff and registered representatives

Assist with branch reviews

Preparation of various reports

Electronic communication review

Qualification

FINRA rules knowledgeBSA & AML knowledgeCompliance program developmentSecurities industry experienceSeries 7Series 63 & 65Series 24Series 9/10State Insurance licensedAnalytical skillsJudgmentDiscretionMicrosoft Office SuiteInterpersonal skillsCommunication skills

Required

Associates Degree in Business, Finance, Accounting or related degree preferred

Minimum of three years of experience in the securities industry

Experience and knowledge as compliance officer for both Broker/Dealer and Registered Investment Advisor

Series 7

Series 63 & 65 or 66

Series 24 or Series 9/10 - Must be obtained within 90 days of start date

State Insurance licensed

Benefits

22 PTO Days (Paid Time Off)

5 STD Days (Short Term Disability)

11 annual paid holidays

1 float holiday

Medical

Dental

Vision

Health Care Flexible Spending

Dependent Care Flexible Spending

Transportation Fringe Benefit Plan

Group Life

Long Term Disability

Optional Life

Access to voluntary benefit products such as Cancer, Term & Universal Life, Accident, Short-Term Disability and Critical Illness policies, and other ancillary benefit products

401(k) with employee match