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Wealth Compliance Officer

3 months ago

Wilmington, United States WSFS Bank Full time
Job Description

At WSFS Bank, we empower our Associates to grow their careers, guide our customers to secure their financial futures, and actively support our Communities so they can fully thrive. Careers with WSFS Bank offer an inclusive and supportive culture, competitive salaries, advancement opportunities, and more. We are the region's locally headquartered bank and wealth management company. We are honored to consistently be named a Top Workplace by our Associates, who make a difference every day for the people, businesses, and Communities we serve. We Stand For Service® is more than part of our name, it's our mission and our purpose.

The Wealth Compliance Officer will ensure compliance with applicable OCC, SEC, Delaware State Banking Commissioner and FRB regulations. The incumbent will be responsible for supporting division wide policies and procedures, coordinating with regulatory examiners and with the internal audit team.

Job Responsibilities:
  • Ensure policies and process are updated as necessary and monitor compliance within the Wealth Division.
  • Manage and perform quality control programs within the division and conduct internal reviews to test policies and procedures across all Wealth lines of business.
  • Monitor and research new regulatory developments and requirements while proposing and executing solutions.
  • Participate in the collection, review and vetting of new clients to ensure compliance with WSFS BSA/AML Policy.
  • Analyze transaction reports to identify indicators of suspicious activity.
  • Monitor the account opening process to ensure that accounts are established in accordance with Trust procedures.
  • Assist the Senior Wealth Compliance Officer with the creation of internal compliance training materials while assuring Trust Compliance program is continuously updated to maintain full compliance with applicable regulations.
  • Preparation, attendance and participation in leadership team meetings, Wealth Committees, as needed.
Minimum Qualifications:
  • Bachelor's Degree is required; Graduate Degree is preferred.
  • Must have 5-7 years of Trust or SEC Compliance experience.
  • Must have extensive knowledge of Wealth business, policies and procedures.
  • Experience with CLEAR, World-Check or other similar compliance research tools is preferred.
  • Extensive knowledge of MS Work, Excel as well as Trust system applications and account history.
  • Must have the ability to plan, organize, multi-task and communicate to others.
  • Must be able to make decisions and recommendations on difficult or important issues affecting account activity.
  • Must be able to work under pressure.


WSFS Bank is inclusive and supportive of individual needs. If you have a physical or other impairment that might require an accommodation, including technical assistance with the WSFS Bank Careers website or submission process, please contact us via email at careers@wsfsbank.com.

WSFS is an equal opportunity employer. We do not discriminate based upon race, religion, color, national origin, gender (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.