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Compliance Consultant 5 (WFA Compliance RSNIP Consultant)

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.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 WBS Compliance team is responsible for delivering compliance support for the in-Bank FA business, including specialized knowledge of compliance requirements at the intersection of Bank and Brokerage regulations and related reporting for Retail Sales of Non-Deposit Investment Products (RSNIP).This senior Compliance Consultant position will administer and execute compliance program activities related to the Bank's RSNIP Program and associated Broker-Dealer impacts. The Compliance Consultant will help the Bank and Broker-Dealer partner to drive a consistent compliance risk management approach ensuring adherence to corporate policy and regulatory requirements. The Consultant will be expected to:

  • Collaborate to identify and provide consultation on RSNIP compliance requirements contained in the Affluent Customer Segment and High Net Worth programs or strategies;
  • Consult on all projects related to RSNIP from a brokerage perspective, including regular attendance to various governance meetings;
  • Consult on Incentive Compensation Plans (ICP) impacting RSNIP and review plans for regulatory requirements and potential conflicts of interest;
  • Review and provide guidance on internal and external materials related to RSNIP;
  • Partner with Consumer Banking Learning & Sales Development, Consumer Banking Sales Development and WIM Learning and Development to create RSNIP training content for delivery to Consumer Banking as well as Wealth Management team members;
  • Assist with development and review of the Annual Compliance Meeting (ACM) referral model training for referral only registered team members; and,
  • Partner with WIM Compliance to conduct periodic evaluation of the RSNIP program and other related regulatory requirements (MR management).The Compliance Consultant must have strong knowledge of OCC requirements related to RSNIP and be able to leverage expertise of banking and broker-dealer laws, rules, regulations and agency guidance to drive compliance risk management processes across Wells Fargo. The Compliance Consultant also works across the organization to influence development of relevant corrective actions to address issue root causes and improve control design and effectiveness, as needed.

    Required Qualifications
    • 10+ 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; or 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both

      Desired Qualifications
      • Advanced 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
      • Risk and regulatory compliance experience
      • Ability to be flexible and adjust plans quickly to meet changing business needs
      • Ability to track and monitor project progress, identify project and process gaps, recommend controls and communicate progress to business leaders
      • Experience resolving and working through escalated and complex issues
      • Ability to take initiative and work independently with minimal supervision in a structured environment
      • Ability to foster effective partnerships

        Other Desired Qualifications
        • Wealth, investment management, and/or consumer banking
        • Experience working with internal and external auditors and/or examiners

          Job Expectations
          • Ability to travel up to 10% of the time

            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 5 (WFA Compliance RSNIP Consultant), Professions , Saint Louis, Missouri

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