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Controls Analyst 2 - Registration Department - St. Louis, MO

Company: Wells Fargo Bank
Location: Saint Louis
Posted on: October 18, 2020

Job Description:

Job Description Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application. 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. Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, and both individual and institutional retirement. The Controls Analyst 2 - Registration Department is responsible for monitoring and research analysis within the Registration Group providing proactive solutions. Performs extensive review and analysis of Registration Department functions, controls, policy, department procedures and business practices to ensure compliance with firm, industry, and regulatory guidelines. The analyst may consult with senior management on policies and procedures, controls, tools and business processes. Serve as a point of contact for the department regarding firm, compliance and regulatory policies, internal and external reviews, operating procedures as well as regarding risk management for firm and vendor provided products and services. May conduct research and complex analysis in search of current and best practices as well as opportunities for additional synergies and to maximize efficiencies; must be proficient at gathering and analyzing data from multiple sources, identifying trends and presenting analysis through meaningful statistics. The position is integral in policy/process changes, process improvements, and technology enhancements with a focus on Registration Department impacts. Completes other duties as assigned by Manager. **Although indicated in the "Job Expectations", the Series 7, 66, Insurance licensing & travel, are not required for this specific opportunity.** Required Qualifications * 4+ years of experience in one or a combination of the following: audit, legal, compliance, or retail branch office; in the financial services industry Desired Qualifications * Strong research and documentation skills * Knowledge and understanding of retail brokerage and industry trends * Independent negotiating experience * Excellent verbal, written, and interpersonal communication skills * Ability to interact with all levels of an organization * Conflict management and decision making skills * Ability to work independently while balancing the needs of multiple projects * Effective organizational, multi tasking, and prioritizing skills * Ability to work in a fast-paced deadline driven environment * Ability to work independently, make decisions, and instruct others Job Expectations * Registration for FINRA Series 7 and 66 (or 63 and 65) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. * Designated insurance license requirements must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. Compliance with state law requirements is required. * Ability to travel 25% of the time * Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance. * For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required Salary Information The salary range displayed below is based on a Full-time 40 hour a week schedule. MO-Saint Louis: Min: $64,500 Mid: $90,900 Street Address MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO

Keywords: Wells Fargo Bank, St. Louis , Controls Analyst 2 - Registration Department - St. Louis, MO, Other , Saint Louis, Missouri

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