Compliance Officer Brokerage Securities Admin Sis WesBanco Bank Inc•Ann Arbor, MI• Back Compliance Officer - Brokerage - Securities Admin 52-8478 Multiple Locations Apply X Facebook LinkedIn Email Copy 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 Education/Experience 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. Certifications/Licensing Required 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. Essential Function Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the Bank's policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner. Qualifications To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed are representative of the knowledge, skill, and /or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Essential Duties and Responsibilities include the following. Other duties may be assigned. 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 necessa WesBanco Bank Inc Go to Apply