Trade Review Manager

2 weeks ago

Columbus, 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. Seri

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