Trade Review Officer - Brokerage -Securities Administration - Parkersburg, WV

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Trade Review Officer - Brokerage -Securities Administration

#53-8543

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 in all WesBanco Markets.

Market

Morgantown

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 in Trade Review or Compliance preferred.

Knowledge of a broad range of securities and insurance products, FINRA rules, regulations, Securities and Risk Management principles, current economic and market conditions, legislation required.

Knowledge of criteria for determining best interest and suitability of proposed purchase of securities / insurance products for each individual client's needs and legal principles of client's capacity / authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on client's behalf required.

Series 7 Required

Series 63 & 65 or 66 Required

Series 24 or ability to obtain series 24 within 90 days of employment required

Series 4 and 53 are not required but preferred. (Option to obtain within 180 days of employment)

State Insurance license required.

Job Description

SUMMARY :

Responsible for conducting trade review while adhering to regulatory and firm's policies and procedures. Responsible for working independently with minimal supervision. Completes all assigned compliance training timely and maintains professional licenses as required.

CUSTOMER SERVICE SKILLS :

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

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

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

INTERPERSONAL SKILLS :

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

Strong interpersonal and communication (written and verbal) skills.

ESSENTIAL DUTIES AND RESPONSIBILITIES :

Responsibilities include Principal Review and approval of transactions while adhering to the firm's established policies and procedures.

Provides Principal Review and approval on variety of business types : equities, mutual funds, annuities, life insurance, advisory, etc.

Maintains product knowledge and assists with the creation of practices and programs as needed.

Communicates with registered representatives for any issues regarding transactions.

Communicates with Compliance on regulatory best interest or suitability concerns.

Provides guidance to registered representatives to resolve escalated issues surrounding trade review.

Reviews daily trade blotter for day-to-day broker activity.

Reviews outside brokerage accounts.

Reviews electronic communications as needed.

Other duties may be assigned.

OTHER REQUIREMENTS :

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.

Proficient skills in Word, Excel and Outlook.

Full-Time / Part-Time

Full-time

Area of Interest

WesBanco Securities

All Locations

Uniontown

Ohio

United States

Ann Arbor

Michigan

United States

Wheeling

West Virginia

United States

Cincinnati

Ohio

United States

Toledo

Ohio

United States

Cleveland

Ohio

United States

Defiance

Ohio

United States

Fairmont

West Virginia

United States

Findlay

Ohio

United States

Frankfort

Kentucky

United States

Fort Wayne

Indiana

United States

Parkersburg

West Virginia

United States

Columbus

Ohio

United States

Huntington

West Virginia

United States

Carmel

Indiana

United States

Ironton

Ohio

United States

Franklin

Tennessee

United States

Pittsburgh

Pennsylvania

United States

New Albany

Indiana

United States

Youngstown

Ohio

United States

Chattanooga

Tennessee

United States

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