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Compliance Manager 4 - WFA Retail Surveillance

Company: Wells Fargo Bank
Location: Florissant
Posted on: November 21, 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 Retail Surveillance & Oversight group conducts retail brokerage transaction oversight through both systemic and targeted monitoring. - The Retail Surveillance team monitors brokerage activities to ensure compliance with Firm's policies and procedures, as well as rules and regulations governing the securities industry. - The team provide compliance support to Private Client Group (PCG), Wealth Brokerage Services (WBS), WFA Financial Network (FiNet), WellsTrade (WT), Wells Fargo Advisors Solutions (WFAS), Centralized Affluent Team (CAT), and Intuitive Investor (Digital). -The Retail Surveillance Compliance Consultant will conduct surveillance and oversight through analysis and evaluation of activity, as well as assessment of supervisory action in consideration of alignment with regulations and policies. They will interact with business partners, calling attention to areas of concern, highlighting opportunities for education, sharing best practices, setting expectations, and maintaining high ethical and professional standards.Responsibilities include but are not limited to:--- Engage, collaborate and partner with proper business, risk, and compliance units to timely and effectively address issues, concerns, risks, and compliance matters.--- Execute processes effectively, according to procedures, and by established deadlines, ensuring clients' best interests are protected, and demonstrating accountability for identifying, escalating, mitigating, and managing risks.--- Exercise sound judgment, ensure quality documentation and work product, and demonstrate effective written and verbal communication essential to building trust and establishing credibility.--- Stay current on factors that influence the industry and our business.--- Provide accurate and effective reporting to management.***Please Note: - Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

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

    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 be flexible and adjust plans quickly to meet changing business needs
    • Risk management and mitigation experience
    • Experience developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight to a compliance function
    • Ability to take initiative and work independently with minimal supervision in a structured environment
    • FINRA registration including Series 9/10 or 24 (or FINRA recognized equivalents)
    • Knowledge and understanding of brokerage industry: products, services, operational policies, and procedures
    • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
    • Ability to provide leadership by coaching, training, and mentoring
    • Ability to interact with integrity and a high level of professionalism with all levels of team members and management
    • Ability to negotiate, influence, and collaborate to build successful relationships

      Other Desired Qualifications
      --- Highly effective at influencing, critical-thinking, and problem solving, is able to build, engage, and maintain positive working relationships--- Ability to product high levels summary analysis in a meaningful and understandable format



      Salary Information
      The salary range displayed below is based on a Full-time 40 hour a week schedule.

      MO-Saint Louis: Min: $80,500 Mid: $115,000


      Street Address
      MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO


      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 Bank, Florissant , Compliance Manager 4 - WFA Retail Surveillance, Executive , Florissant, Missouri

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