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Compliance Consultant 3 - WFA Retail Surveillance

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.Within Wells Fargo Advisors (WFA) Compliance, the Retail Surveillance & Oversight group conducts surveillance and monitoring to ensure compliance with the Firm's internal policies and procedures and applicable rules and regulations governing the securities industry.The Compliance Consultant will support escalated complex matters that require deeper analysis, complete Financial Advisor book of business reviews, facilitate monitoring of High Risk Brokers, and identify potential trends across books of business, branch offices, and/or business regions. The Compliance Consultant is responsible for providing compliance risk expertise and credible challenge to business unit decisions and actions to identify and mitigate regulatory risk and help establish an effective and efficient compliance risk management program. Additionally, the Compliance Consultant participates in the handling and completion of surveillance reports and processes; assists in identification, design, and development of initiatives with potential moderate to high risk to facilitate and support the implementation of the compliance program; and, may provide training and guidance to less experienced consultants. Other work will include reporting findings and recommendations, as well as assisting in the analysis of special projects and team initiatives.

Required Qualifications

  • 2+ 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
  • 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field

    Desired Qualifications
    • Intermediate Microsoft Office skills
    • Excellent verbal, written, and interpersonal communication skills
    • Strong analytical skills with high attention to detail and accuracy
    • Ability to interact with all levels of an organization
    • FINRA registration including one or more of the following: FINRA Series 7, FINRA Series 24, FINRA Series 14, or FINRA recognized equivalents
    • Ability to evaluate risks and the impact of decisions on an overall organization
    • Ability to identify and manage complex issues and negotiate solutions within a geographically dispersed organization
    • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
    • Ability to interact with integrity and a high level of professionalism with all levels of team members and management
    • Ability to communicate effectively, in both written and verbal formats, with senior executive-level leaders


      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 Consultant 3 - WFA Retail Surveillance, Hospitality & Tourism , Saint Louis, Missouri

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