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Compliance Consultant 3 - WFA Communications Compliance

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. 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 serves as the principal source for associates to contact for centralized advice and guidance on a wide array of communications-related issues through four key groups with two main focuses - compliant communications and Infrastructure AnalysisThe Communications Compliance Analyst will review, analyze and approve internal and external communications with the public to ensure compliance with regulatory requirements, internal guidelines, and other risk related issues. The individual will develop deep product expertise and knowledge of relevant regulations to be applied in reviewing materials which could range from complex investments, general market letters, seminar invitation and web content.Specific Job Responsibilities:As a member of the Communications Compliance team, this individual will be responsible for review of traditional advertising, marketing and sales literature, as well as emerging areas including electronic communications and social media

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 Series 24 (or FINRA recognized equivalents)
    • FINRA registration including Series 7 (or FINRA recognized equivalents)
    • 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

      Other Desired Qualifications
      Knowledge of FINRA and SEC advertising rules preferredAbility to work independently and also as part of a high-functioning, collaborative team

      Disclaimer

      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 Communications Compliance, Professions , Saint Louis, Missouri

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