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Trade Review Manager

2 months ago

Frankfort, United States WesBanco Bank Inc. Full time

Job Title - Department
Trade Review Manager - Brokerage - Securities Administration
Location

This position is hybrid. The employee is split between remote and office work on a formalized schedule. Consideration for location will be Wheeling, WV, Fairmont, WV, Huntington, WV, Parkersburg, WV, Ironton, OH, Cincinnati, OH, Columbus, OH, Albany, IN, Frankfort, KY, Elizabethtown, KY, Perrysville, PA, or Bowie, MD.

Market
Upper Ohio Valley
Work Hours per Week
37.5
Requirements

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below 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.

Job Description

Summary:

Manages Trade Review Officers and coordinates with Compliance on complex items. Conducts trade review, adheres to regulatory and firm's policies and procedures. Expected to work independently with minimal supervision. 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.

Essential Duties and Responsibilities:

Provides Trade Review and approval of transactions while adhering to the firm's established policies and procedures.

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

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

Communicates with registered representatives for Not In Good Order (NIGO) items.

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.

Education and/or Experience

Associates Degree in Business, Finance, Accounting or related field preferred.

Minimum of three years experience in the securities industry required.

Compliance and Supervisory experience is 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.

Supervisory Responsibilities

Responsible in providing the overall direction, coordination and evaluation of the team to include staff scheduling and planning, assigning and directing work.

Responsible for evaluating performance, rewarding and disciplining employees, addressing complaints and resolving problems.

Responsibilities include interviewing, assisting with hiring, coaching and training employees.

Technical Skills

Proficiency in Microsoft Office products including Word, Outlook and Excel.

Certificates, Licenses, Registrations

Series 7 required.

Series 63 & 65 or 66 required.

Series 24 required.

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

State Insurance license required.

Other Skills and Abilities

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.

Physical Demands

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Work Environment

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.