Senior Trade Review Officer, Brokerage Compliance
Job in
Cleveland, Rowan County, North Carolina, 27013, USA
Listed on 2025-12-15
Listing for:
WesBanco
Full Time
position Listed on 2025-12-15
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Regulatory Compliance Specialist
Job Description & How to Apply Below
A financial institution in Cleveland is seeking a compliance professional to conduct trade reviews and ensure adherence to regulations. The ideal candidate will have a degree in Finance or a related field, with at least three years of experience in the securities industry. Responsibilities include providing principal review, communicating with registered representatives, and maintaining product knowledge. Required qualifications include Series 7, Series 63 & 65 or 66, and a state insurance license.
This role demands strong analytical and communication skills.
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Position Requirements
10+ Years
work experience
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