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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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