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Divisional Governance Specialist - Client Relationship Group

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


Required Qualifications:

  • 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 & 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)


Desired Qualifications:

  • 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

Job Expectations:

  • Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position
  • 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 subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Posting Locations:

  • 30 South Pearl Street, Albany, NY 12207
  • 180 Battery Street, Burlington, VT 05401
  • 23 Water Street, Bangor, ME 04401
  • 1063 Western Avenue, Brattleboro, VT 05303
  • 6700 Main Street, One Beresford Court, Buffalo, NY 14221
  • Two Portland Square, Portland, ME 04101
  • 400 Meridian Centre Boulevard, Rochester, NY 14618
  • 37 Henry Street, Suite 201, Saratoga Springs, NY 12866
  • 500 Plum Street, Syracuse, NY 13204
  • 271 North Main Street, Suite 208, Rutland, VT 05701

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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