Wells Fargo is seeking a Senior Compliance Specialist to join the Wealth and Investment Management Compliance Pre-Registration team. Learn more about the career areas and business divisions at wellsfargojobs.com
In this role, you will: • Review and decision potential candidates for securities licensing through review of each candidate's background, experience, FINRA history, and credit/criminal history. • Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements • Oversee the Front Line's execution and challenges appropriately on compliance related decisions • Provide oversight and monitoring of risk-based compliance programs • Develop and oversee standards • Provide subject matter expertise with comprehensive knowledge of business and functional area • Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area • Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management • Provide direction to the business on developing corrective action plans and effectively managing regulatory change • Provide compliance risk expertise • Consult for projects and initiatives with moderate risk for a business line • Identify and recommend opportunities for process improvement and risk control development • Provide direction to the business on developing corrective action plans and effectively managing regulatory change • Report findings and make recommendations to management appropriate committees • Interpret policies, procedures, and compliance requirements • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals • Work with complex business units, rules and regulations on moderate risk compliance matters • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Required Qualifications:
4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
FINRA Licensed
Knowledge and understanding of Broker-Dealer regulatory requirements
Excellent verbal, written, and interpersonal communication skills including the ability to communicate effectively across various stakeholders including conducting difficult conversations and persuasive messaging
Ability to effectively decision candidates for licensing through review of candidate's background, experience, FINRA history and credit/criminal history
Ability to build effective relationships across a matrixed organization to effectively communicate and decision candidates for licensing
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Job Expectations:
Posting Locations:
Saint Louis, MO
Charlotte, NC
This position offers a hybrid work schedule
Required location(s) listed above. Relocation assistance is not available for this position.
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
Posting End Date: 5 Jul 2024 *Job posting may come down early due to volume of applicants.
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
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Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.