Senior Compliance Specialist - Brokerage Compliance Technology Support
Company: Wells Fargo
Location: Saint Louis
Posted on: August 7, 2022
Job Description:
At Wells Fargo, we are looking for talented people who will put
our customers at the center of everything we do. We are seeking
candidates who embrace diversity, equity and inclusion in a
workplace where everyone feels valued and inspired. Help us build a
better Wells Fargo. It all begins with outstanding talent. It all
begins with you.About this role:Wells Fargo is seeking a Senior
Compliance Specialist in Corporate Risk as part of Wells Fargo
Advisors (WFA) Compliance. Learn more about the career areas and
lines of business at . Within Wells Fargo Advisors (WFA)
Compliance, the Compliance Program Office is responsible for
strategic management of the Enterprise Compliance requirements
which stretch across Compliance teams that collectively support the
WFCS and WFAFN broker-dealers. The Compliance Program Office
includes brokerage technology compliance liaisons who are subject
matter experts for technology used to support the compliance
program. This position will provide key support for the combined
applications that enable compliance with regulatory requirements
related to broker-dealer exams and communications (cMAX, RegEd,
Digital Reasoning, Smarsh). The successful candidate will have
strong knowledge of application management activities, as well as a
command of how to maintain an effective control environment. In
this role, you will:
- Conduct routine testing of workflow, periodic tuning of and/or
changes to system capabilities, trouble-shooting support for system
users, systems access maintenance, and participation in ongoing
program management
- Provide dedicated compliance support as new features are
implemented, as well as routine reporting of progress and
challenges to the program
- Develop and oversee standards supporting compliance
technology
- Provide subject matter expertise with comprehensive knowledge
of business and functional area
- Provide compliance risk expertise and consulting for projects
and initiatives
- Identify and recommend opportunities for process improvement
and risk control development
- Collaborate and consult with peers, colleagues and managers to
resolve issues and achieve goalsThis 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.Required Qualifications, US:
- 4+ years of Compliance experience, or equivalent demonstrated
through one or a combination of the following: work experience,
training, military experience, educationDesired Qualifications:
- Strong analytical skills with high attention to detail and
accuracy
- Ability to analyze technological behavior and be able to rule
in or out potential root cause
- Effective interpersonal skills, with an ability to explain
technology concepts in ways that focus on business need
- Experience with application management activities
- Experience maintaining an effective control environment via
workflow and automation
- Experience with SAS or SQL, or other data management, reporting
and query tools
- Familiarity with basic data storage constructs and techniques
to support data analysis and reporting
- Knowledge and understanding of how compliance requirements are
supported through automated workflows
- Knowledge and understanding of broker dealer compliance
requirements
- An affinity for continual learning of advancing
technologies
- Advanced proficiency with Microsoft Office
- Project management experienceJob Expectations:
- Willingness to work on-site at stated location on the job
opening 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, or status as a protected veteran. 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.
Keywords: Wells Fargo, St. Louis , Senior Compliance Specialist - Brokerage Compliance Technology Support, IT / Software / Systems , Saint Louis, Missouri
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