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Compliance Manager

Company: Wells Fargo
Location: Saint Louis
Posted on: May 19, 2019

Job Description:

Job Description
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.Corporate Risk helps all Wells Fargo businesses identify and manage risk. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.Wells Fargo Compliance is the company's compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.Within Wells Fargo Advisors Compliance, the Communications Compliance team is responsible for reviewing all sales and marketing communications intended for distribution to more than one client or prospect. The team is hiring a Compliance Manager to lead our compliance program around policy and partnership for a variety of Communications Compliance functions, including:

  • Oversight of Communications Compliance policies, procedures, guides and informational material.
  • Address new and updated industry rules, regulations & guidelines and communicate those updates to our business partners.
  • Train our business partners on the Communications Compliance review and approval process.
  • Take the lead in streamlining cross-WIM business relationships for the department as it relates to the creation of communications and promotional material.
  • Oversight of Communications Compliance Quality Assurance program.As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:
    • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
    • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasksLocation: Saint Louis MO

      Required Qualifications
      • 6+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 6+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
      • 2+ years of management experience, or 3+ years of leadership experience

        Desired Qualifications
        • Advanced Microsoft Office skills
        • Excellent verbal, written, and interpersonal communication skills
        • Strong analytical skills with high attention to detail and accuracy
        • Ability to articulate complex concepts in a clear manner
        • Ability to evaluate risks and the impact of decisions on an overall organization
        • Ability to interact with integrity and a high level of professionalism with all levels of team members and management
        • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
        • FINRA registration including Series 7 (or FINRA recognized equivalents)
        • FINRA registration including Series 24 (or FINRA recognized equivalents)

          Other Desired Qualifications
          • Proven ability to understand and communicate effectively about technical, complex compliance standards.


            All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

            Relevant military experience is considered for veterans and transitioning service men and women.
            Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Keywords: Wells Fargo, St. Louis , Compliance Manager, Executive , Saint Louis, Missouri

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