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Compliance Officer Brokerage Consumer Compliance

WesBanco Bank Inc • Ann Arbor, MI • 5h ago

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Compliance Officer - Brokerage - Consumer Compliance

52-8478

Multiple Locations

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Location

This position is hybrid. The employee is split between remote and office work on a formalized schedule. Consideration for location will be across all markets within the WesBanco footprint.

Market

Charleston

Work Hours per Week

37.5

Requirements

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

Job Description

SUMMARY:

Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization's level of compliance with applicable laws and regulations.

Expected to work independently with minimal supervision within team to lead in the identification and assessment of risks within the company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards. In addition, expected to make recommendations to management for closing gaps identified during the reviews.

The Securities industry is highly regulated. This person will also be expected to complete all assigned compliance training timely and maintain professional licenses as required.

CUSTOMER SERVICE SKILLS:

Willingness to provide a level of service which will clearly differentiate us from our competitors.

INTERPERSONAL SKILLS:

Professional demeanor in appearance, interpersonal relations, work ethic and attitude.

Possess clear, concise, effective written and oral communication skills to effectively express thoughts, ideas and concepts to management, bank employees and bank customers in a collaborative and solutions oriented manner.

Ability to exercise independent sound, judgment and discretion and understand when assistance is needed.

Must be able to work effectively with a wide variety of departments, managers, staff, clients and auditors.

Strong interpersonal and communication (written and verbal) skills.

Ability to evaluate and analyze products and services, and vendors.

Represents the Company in civic, community and industry functions to network and develop additional business.

ESSENTIAL DUTIES AND 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.

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