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Compliance Consultant

Company: Wells Fargo
Location: Charlotte
Posted on: September 22, 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. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes 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 Communications Compliance team serves as the principal contact to associates 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 Analysis. The Communications Compliance Analyst will review, analyze and approve both internal and external communications to ensure compliance with regulatory requirements, internal guidelines, and other risk-related issues. The Analyst will apply deep product expertise and knowledge of relevant regulations when reviewing materials which include investment products, general market letters, seminar invitations and web content. Additionally, the Analyst will be involved with projects as required. As a member of the Communications Compliance team, this Analyst will review marketing and promotional material, as well as electronic communications and social media. In particular, the Analyst is responsible for reviewing material produced by Wells Fargo Advisors Home Office business and product areas, including Next Generation Talent and Learning and Development. The Analyst will also review Wells Fargo Investment Institute (WFII) reports concerning investment strategy and advice for the Wealth and Investment Management businesses of Wells Fargo & Company. The successful candidate should be familiar with various types of investments such as stocks, bonds, separately managed accounts, mutual funds, exchange traded funds, closed-end funds. Required Qualifications - 6+ 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 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both - Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents) - Successfully completed FINRA Series 24 exam to qualify for immediate registration (or FINRA recognized equivalents) 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 - 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 - 4 years compliance experience reviewing marketing communications - Ability to work independently and also as part of a high-functioning, collaborative team - Knowledge of FINRA and SEC advertising rules - Candidate must possess an understanding of what can drive financial market movements and be conversant in general market terminology. Additionally, the candidate should be familiar with basic financial management strategies used in retirement and education planning. Street Address MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC 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, Rock Hill , Compliance Consultant, Professions , Charlotte, South Carolina

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