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WesBanco · 1 month ago

Compliance Officer - Brokerage - Securities Admin

Sissonville, WV

Full-time

Hybrid

Mid Level

3+ years exp

WesBanco is a financial institution seeking a Compliance Officer to oversee regulatory compliance in the brokerage and securities administration sector. The role involves conducting reviews, regulatory monitoring, and providing compliance guidance while 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 with 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 7 certificationSeries 63 & 65Series 24Series 9/10State Insurance licenseAnalytical skillsJudgmentDiscretionMicrosoft Office SuiteInterpersonal skillsCommunication skills