National Sales Manager, Product & Solutions Group

Employment Type

: Full-Time


: Miscellaneous

Wedbush Securities is one of the largest full-service securities and futures firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Our Los Angeles Headquarters is seeking a Compliance Manager to lead the Advanced Clearing & Prime Services division processes for asset transfers, regulatory supervision and maintenance of WSPs. Responsibilities include but are not limited to: * Update and maintain policies and procedures for wire transfers and Letters of Authorization (LOAs) to transfer assets to other parties * Supervise staff and division approval of wire transfers and LOAs * Manage and oversee the verification of asset transfers * Review and recommend procedural enhancements to improve processes * Maintain and update WSPs for functions related to this role * Investigate improved processing solutions through technology enhancements * Draft and maintain supervisory procedures and other policies * Review and respond to regulatory inquiries * Oversee supervision of division's compliance for a broad array of areas * Conduct operational investigative reviews of customer inquiries * Perform other duties as required and assigned Experience and Skills * Bachelor's Degree from an accredited university, preferably in Business Administration or other related fields * Prior experience in AML and/or Compliance * FINRA licenses Series 7, 24 and/or 9/10 * Excellent customer service skills * Advanced written and verbal communication skills * Strong critical thinking and analysis capabilities * Ability to work in a constant state of alertness and safe manner

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