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Broker/Dealer Compliance Officer

Date: Nov 5, 2021

Location: Parkersburg, WV, US, 26101

Company: United Bank

Job Description

Responsible for collaborating with the Chief Compliance Officer with the development, coordination and ongoing implementation of the BD/RIA compliance program. 

 

 

RESPONSIBILITIES:

  • Perform testing/branch review to ensure compliance with various securities and insurance laws and regulations according to FINRA
  • Identify and provide recommendations on testing findings for implementation
  • Responsible for  development of required training for Broker / Dealer personnel to comply under FINRA regulations.
  • Gather data and prepare  required regulatory filings in a timely manner on a monthly, quarterly and annual basis
  • Responsible for working with internal and external auditors to ensure successful audit outcome
  • Responsible for preparing and distributing various levels of management.
  • May attend the Risk and compliance quarterly committee meetings to present area reports and represent department
  • Responsible for reviewing, interpreting and applying of new laws and regulations impacting the Broker / Dealer operation upon final authorization from CCO.

Qualifications

  • Bachelor’s degree required
  • Minimum of four (4) years of experience working in a Brokerage environment required
  • Series 7, Series 66 and WV Insurance licenses highly desired or ability to obtain within one year of employment is required
  • Ability to prepare and present various types of documents and reports
  • Proficiency in Microsoft Office Products required
  • Excellent written and verbal communication skills
  • Ability to travel minimum of 10% and may require overnight travel
  • Ability to comprehend, interpret written laws and regulations and other technical documents
  • Ability to multi-task in a fast-paced environment
  • Detailed oriented, excellent organizational skills and ability to work independently
  • Ability to perform complex mathematical calculations required

 

KEY COMPETENCIES:

  •  Compliance focused
  • Communication skills
  • Interpersonal Skills with all levels of external and internal customers
  • Effective presentation skills
  • Essential Functions:  (Identify physical functions required to perform position, see examples below)
  • Sitting for extended periods of time.
  • Sufficient dexterity of hands and fingers to efficiently operate a computer keyboard, mouse and other computer components.
  • Ability to converse and exchange information with all levels of staff within organization.
  • Ability to observe, perceive, identify, and translate data
  • Ability to travel via air, rail, automobile and/or bus.

Company Profile

At United, we value all of the relationships we have built since 1839. We are committed to providing each relationship with an unmatched level of service. While we offer competitive products, services, rates, and technology, the level of service we provide and our commitment to building relationships is what sets us apart from our competitors. Our 211 full-service banking offices and 15 loan origination offices in West Virginia, Maryland, Virginia, Ohio, Georgia, Pennsylvania, North Carolina, South Carolina and Washington, D.C. are each built on customer service and commitment to the community. United is backed by a history of safe, sound and secure banking practices that have allowed us to navigate through decades of changing economic environments. Because of this, our employees, customers, shareholders and communities can rely on us to be their banking partner for decades to come. Member FDIC. Equal Housing Lender. Equal Opportunity Employer.


Nearest Major Market: Marietta

Job Segment: Compliance, Law, Series 7, Legal, Finance