Wells Fargo is seeking a Counsel - Assistant Vice President to join the Wealth & Investment Management (WIM) section of the Wells Fargo Legal Department. The Counsel - Assistant Vice President will provide legal advice to WIM's Client Relationship Group (CRG), including regarding branch support and supervision issues.
In this role, you will:
Advise on legal questions raised by various WIM business leaders--including branch support inquiries, questions raised by the complaint resolution team, and requests for advice from WIM's Elder Client Initiative.
Conduct research in support of more senior counsel on various legal issues arising in CRG as well as other WIM centers of excellence.
Lead the legal engagement on various initiatives including projects relating to the supervision of financial services professionals.
Develop subject matter knowledge and risk assessment skills.
Build relationships with internal clients.
Monitor legal and regulatory changes, escalating issues to more senior members of the team as needed.
Collaborate within the department and across business and staff functions to address legal and risk issues in a manner consistent with the best interests of Wells Fargo.
Review issues, policies or procedures for which answers can be quickly obtained related to low-to-medium risk deliverables.
Receive direction from supervisor and exercise independent judgment while developing understanding of policies, procedures, specialization, and compliance requirements.
Required Qualifications, US:
2+ years of legal experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
Active State Bar membership or the equivalent in a country outside the United States
Desired Qualifications:
Prior experience with power of attorney documents, transfer on death accounts, non-disclosure agreement and trust and estate issues.
Prior experience supporting broker-dealer on issues such as account documentation and transaction processing.
Experience advising on regulatory filings such as FINRA Form U5 and FINRA Rule 4530(a)(2) filings.
Experience providing legal support regarding elder client issues.
Primary attorney for supervisory related reviews.
Serve as legal contact to cross-functional working group that advises on FINRA regulatory filings.
Practicing Attorney experience.
Ability to research law and regulations and develop advice with respect to complex legal issues using public as well as company websites and databases.
Strong attention to detail and accuracy.
Experience working in a fast paced highly complex environment.
Excellent verbal, written, and interpersonal communication skills.
Ability to effectively organize and prioritize work while handling multiple matters.
Job Expectations
Position will require onsite presence from any of the required locations listed below.
This position is not eligible for Visa sponsorship.
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 CRF 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.
Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates. $73,100.00 - $155,900.00 Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement
Posting End Date: 29 Sep 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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.