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Posted : Sunday, December 17, 2023 05:26 AM
About this role:
Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of the Integrated Brokerage, Advice, and Services.
Learn more about the career areas and lines of business at wellsfargojobs.
com .
In this role, you will: Perform high-risk financial advisor reviews designed to identify potential trends across books of business, branch offices, and/or business regions Engage with business senior management to share analysis results, escalate concerns, and engage in the design of program-level changes to mitigate identified risks as needed Support enterprise policy-driven projects, cross-team initiatives, departmental exams and program inquires Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements Oversee the Front Line's execution and challenges appropriately on compliance related decisions Develop, oversee, and provide independent credible challenge to standards relative to financial advisors' activities Report findings and make recommendations to management and appropriate committees Identify and recommend opportunities for process improvement and risk control development Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Monitor the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management Interpret policies, procedures, and compliance requirements Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topic This 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: 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Strong analytical skills with high attention to detail and accuracy FINRA registration including Series 7 and 9/10 or 24 Experience with Regulation Best Interest Excellent verbal, written, and interpersonal communication skills Ability to interact with integrity and a high level of professionalism with all levels of an organization Advanced Microsoft Office Skills Experience in Brokerage and knowledge of investment products.
Ability to manage multiple projects and prioritize successfully.
Job Expectations: This position offers a hybrid work schedule.
Job posting may come down early due to volume of applicants 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, status as a protected veteran, or any other legally protected characteristic.
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.
Drug and Alcohol Policy Wells Fargo maintains a drug free workplace.
Please see our Drug and Alcohol Policy to learn more.
Learn more about the career areas and lines of business at wellsfargojobs.
com .
In this role, you will: Perform high-risk financial advisor reviews designed to identify potential trends across books of business, branch offices, and/or business regions Engage with business senior management to share analysis results, escalate concerns, and engage in the design of program-level changes to mitigate identified risks as needed Support enterprise policy-driven projects, cross-team initiatives, departmental exams and program inquires Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements Oversee the Front Line's execution and challenges appropriately on compliance related decisions Develop, oversee, and provide independent credible challenge to standards relative to financial advisors' activities Report findings and make recommendations to management and appropriate committees Identify and recommend opportunities for process improvement and risk control development Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Monitor the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management Interpret policies, procedures, and compliance requirements Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topic This 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: 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Strong analytical skills with high attention to detail and accuracy FINRA registration including Series 7 and 9/10 or 24 Experience with Regulation Best Interest Excellent verbal, written, and interpersonal communication skills Ability to interact with integrity and a high level of professionalism with all levels of an organization Advanced Microsoft Office Skills Experience in Brokerage and knowledge of investment products.
Ability to manage multiple projects and prioritize successfully.
Job Expectations: This position offers a hybrid work schedule.
Job posting may come down early due to volume of applicants 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, status as a protected veteran, or any other legally protected characteristic.
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.
Drug and Alcohol Policy Wells Fargo maintains a drug free workplace.
Please see our Drug and Alcohol Policy to learn more.
• Phone : NA
• Location : St. Louis, MO
• Post ID: 9006240399
