Wells Fargo Divisional Governance Specialist - Client Relationship Group in CHESTERFIELD, Missouri
About this role:
Wells Fargo is seeking a Divisional Governance Specialist in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com .
In this role you will:
Be responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and be able to report the findings to the Market Administration Management on a daily basis
Work with the Market Administration Management to ensure that branch compliance procedures fulfill all compliance requirements
Perform ongoing regulatory, compliance, and operational reviews as well as other duties as assigned, as delegated by Market Administration Management (e.g., new account forms, daily order review, etc.) for each branch (within the Market), bringing any deficiencies or concerns to Market Administration Management's attention immediately
Collaborate and consult with financial advisors, branch managers, supervisory principals, and Market Administration Management
6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
FINRA registration including Series 9/10 (or FINRA recognized equivalents)
Knowledge and understanding of brokerage: account processes and compliance procedures
Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
Ability to process complex transactions and perform extensive research to resolve complex customer issues
Strong client service skills
Strong attention to detail and accuracy skills
Strong verbal, written, and interpersonal communication skills
Ability to negotiate and facilitate issue resolution
Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position
Ability to travel up to 10% of the time
Compliance with state law registration and licensing requirements is mandatory
In addition to state registration and licensing requirements, 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 licensing 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
Registration for FINRA Series 9/10 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
This position is not eligible for Visa sponsorship.
Job Posting Locations:
10369 Clayton Rd, Frontenac, MO 63131
14767 North Outer 40 Rd Fl 2, Chesterfield, MO 63017
6400 Westown Pkwy Ste 115, West Des Moines, IA 50266
801 Walnut St, Des Moines, IA 50309
303 3rd Ave SE, Cedar Rapids, IA 52401
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, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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.
Company: WELLS FARGO BANK
Req Number: R-248479-3
Updated: Tue Mar 28 00:00:00 UTC 2023
- Wells Fargo Jobs