Wealth Compliance Officer
2 weeks ago
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
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
At WSFS Bank we empower our Associates to forge the careers of their dreams, we guide our Customers to secure their financial futures, and we actively support our Communities so they can fully thrive
We know that when we work together and move forward with purpose a brighter path to the future lies ahead for our Associates, our Customers, and the Communities we serve
WSFS Financial Corporation (WSFS) is a multibillion-dollar financial services company
Its primary subsidiary, WSFS Bank, is the oldest and largest locally-headquartered bank and trust company in the Greater Philadelphia and Delaware region
As of March 31, 2023, WSFS Financial Corporation had $20.3 billion in assets on its balance sheet and $65.6 billion in assets under management and administration
WSFS operates from 119 offices, 92 of which are banking offices, located in Pennsylvania (61), Delaware (39), New Jersey (17), Virginia (1) and Nevada (1) and provides comprehensive financial services including commercial banking, retail banking, cash management and trust and wealth management
Other subsidiaries or divisions include Arrow Land Transfer, Bryn Mawr Capital Management, LLC, Bryn Mawr Trust®, The Bryn Mawr Trust Company of Delaware, Cash Connect®, NewLane Finance®, Powdermill® Financial Solutions, WSFS Institutional Services®, WSFS Mortgage®, and WSFS Wealth® Investments
Serving the Greater Delaware Valley since 1832, WSFS Bank is one of the ten oldest banks in the United States continuously operating under the same name.
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