Trade Review Officer Brokerage Securities Adminis

Backu00a0Trade Review Officer - Brokerage -Securities Administration#53-8543u00a0Multiple LocationsApplyu00a0Xu00a0 Facebooku00a0 LinkedInu00a0 Emailu00a0 Copyu00a0Locationu00a0This 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.u00a0Marketu00a0Morgantownu00a0Work Hours per Weeku00a037.5u00a0Requirementsu00a0Associates 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 RequiredSeries 63 & 65 or 66 RequiredSeries 24 or ability to obtain series 24 within 90 days of employment requiredSeries 4 and 53 are not required but preferred. (Option to obtain within 180 days of employment)State Insurance license required.u00a0Job Descriptionu00a0SUMMARY:Responsible for conducting trade review while adhering to regulatory and firm's policies and procedures.u00a0 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.u00a0INTERPERSONAL SKILLS:Ability to exercise independent sound, judgment and discretion and understand when assistance is needed.Strong interpersonal and communication (written and verbal) skills.u00a0ESSENTIAL 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 municates with registered representatives for any issues regarding municates 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.u00a0OTHER 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 wo

Created: 2025-12-15