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Escalations Specialist - Registered

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

About this role:

Wells Fargo is seeking an Escalations Specialist - Registered to be a part of the Enterprise Compliance Management Office. For additional information on this line of business, refer to the external Careers Site at .

In this role, you will:

  • Interact with clients in an effort to resolve compliance of settlement negotiations

  • Participate in researching and resolving escalated inquiries and complaints with significant organizational impact and identify opportunities to determine appropriate course of action and conduct investigative steps to fully identify the issues within defined scope of responsibilities
  • Review and analyze inquiries and complaints that require special handling, research, and evaluation
  • Consult regarding difficult and complex transactions, and determine appropriate course of remedial action
  • Present recommendations for resolving escalated inquiries and complaints, and exercise some independent judgment while developing understanding of transaction quality or deficiencies, risks, and investigative steps to recommend solutions
  • Provide information to management committee members, agencies, or more experienced business leaders
  • Provide feedback to internal and external customers regarding identification of fraud and inconsistencies

Required Qualifications, US:

  • 2+ years of Customer Contact in a Financial Services Environment, Financial Services Operations, Underwriting, or Quality Assurance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

  • Knowledge and understanding of securities industry
  • Ability to interact with clients in a client-facing environment

  • Strong analytical skills with high attention to detail and accuracy
  • Experience delivering results in a fast-paced, deadline driven environment
  • Strong organizational, multi-tasking, and prioritizing skills 
  • Intermediate Microsoft Office Skills 
  • Ability to successfully exceed goals with a results focus 
  • Ability to interact with all levels of an organization
  • Excellent verbal, written, and interpersonal communication skills 

Job Expectations:

  • Successfully completed FINRA SIE and Series 7 exams to qualify for immediate registration
  • Ability to work at one of our approved job posting locations
  • Ability to alternate one week in office and one week remote


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, 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.

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