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Compliance Manager 3 - WFA Client Experience & Growth Compliance

Company: Wells Fargo Bank
Location: Florissant
Posted on: November 21, 2019

Job Description:

Job Description
Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume prior to submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message.-- In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application.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.The Manager of Client Experience & Growth and Client Service & Advice will lead a team of individuals providing oversight, guidance, and critical challenge to the Client Experience & Growth Department (CE&G) and the Client Service & Advice Group (CSA).-- The manager will be responsible for coordinating a broad range of initiatives helping WFA Advisors achieve its strategic goals in Next Generation Talent, Recruiting, Succession, Business Development, Field Coaching & Support, as well as achieving its mission to provide outstanding client experiences and helping clients succeed financially through the Client Listening, Life Event Services, and Advice Quality Initiatives.-- The selected candidate will be an accomplished leader, collaborator, and problem solver who has a comprehensive knowledge of both risk management and oversight but also appreciates the objective of the Firm to help Financial Advisors become best practice adopters as they provide clients with financial solutions that are in their best interest.-- The Manager of Client Experience & Growth and Client Service & Advice role be responsible for the following activities:

  • Partner with and support the WFA Client Experience & Growth Department and provide critical challenge to CE&G initiatives
  • Partner with and support the WFA Client Service & Advice Group and provide critical challenge to CSA initiatives
  • Assist with establishing and implementing compliance governance and oversight of WFCS/WFAFN FA recruiting, onboarding, and succession activities
  • Review, document and support implementation of Business Development Group efforts related to FA productivity and sales growth programs and applications such as DELTA, GATEWAY, AIM, PAR, Client Segmentation, Book Analyzer, and other Firm Initiatives
  • Provide Compliance support to Next Generation Talent teams and projects
  • Work with our technology partners to identify reporting gaps and how to fill them
  • Provide Compliance support to Life Event Services teams and projects
  • Manage Compliance support and critical challenge efforts for Advice Quality teams and projects
  • Management reporting associated with CE&G and CSA Compliance Groups efforts
  • Manage, lead, motivate, and direct Team Members of the CE&G and CSA Compliance Groups as they support their channel partnersAs a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:
    • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
    • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.--

      Required Qualifications
      • 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
      • 3+ years of management experience
      • Successfully completed FINRA Series 7 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 articulate complex concepts in a clear manner
        • Ability to evaluate risks and the impact of decisions on an overall organization
        • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
        • Experience building partnerships and consulting effectively with leadership
        • Ability to effectively partner and influence at the executive level
        • Ability to prepare and present senior level communications
        • Ability to navigate complex business relationships

          Job Expectations
          • Registration for FINRA Series 24 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
          • Willingness to work on-site at stated location on the job opening

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


            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 3 - WFA Client Experience & Growth Compliance, Executive , Florissant, Missouri

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