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Senior Compliance Specialist

  • Governance & Controls
  • Full time
  • R-349594

About this role:

Wells Fargo is seeking a Senior Compliance Specialist


In this role, you will:

  • Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
  • Oversee the Front Line's execution and challenges appropriately on compliance related decisions
  • Provide oversight and monitoring of risk-based compliance programs
  • Develop and oversee standards
  • Provide subject matter expertise with comprehensive knowledge of business and functional area
  • Provide compliance risk expertise and consulting for projects and initiatives with moderate risk for a business line or functional area
  • Monitor reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change
  • Provide compliance risk expertise
  • Consult for projects and initiatives with moderate risk for a business line
  • Identify and recommend opportunities for process improvement and risk control development
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change
  • Report findings and make recommendations to management appropriate committees
  • Interpret policies, procedures, and compliance requirements
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
  • Work with complex business units, rules and regulations on moderate risk compliance matters
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.


Required Qualifications:

  • 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.


Desired Qualifications:

  • Knowledge of FINRA, SEC & OCC (RSNIP) advertising rules.

    FINRA Series 24 or 9/10 exam to qualify for immediate registration (or FINRA recognized equivalents)preferred

    2 + years’ experience in reviewing advertising/promotional material.                                                                                                                        

    Excellent writing and editorial skills.

    Solid knowledge of products offered through Broker Dealers, RIA’s and/or Bank Trust Departments

    Proven ability to understand and communicate effectively about technical, complex compliance standards and policies.

    Strong administrative and organizational skills in a deadline-driven environment.

    Ability to work independently and also as part of a high-functioning, collaborative team of professionals, including the ability to form relationships at all levels of the organization.

    Strong ability to prioritize and handle multiple tasks and to be detail oriented in a fast-paced, deadline driven environment.

                  Knowledge of emerging communications technology, both for working with colleagues, and for assessing the use of marketing content in emerging communications channels, including social media


Job Expectations:

  • This candidate will review, analyze and approve marketing and promotional communications with the public, as well as certain internal communications, to ensure compliance with regulatory requirements, internal guidelines and other risk related issues. An applicant should have deep product expertise, along with knowledge of the relevant regulations needed to review a variety of material which could include, but is not limited to; product fact sheets, general market letters, seminar invitations and web content.
    As a member of the Compliance team, this individual will be responsible for review of traditional advertising, marketing and promotional literature, as well as electronic communications and social media.
    Daily review of promotional material, diplomatically communicate required edits, explain the regulatory basis for the changes and be creative in suggesting alternatives to any problematic language. Work with assigned business units to help them produce strong, effective and compliant communications. Assist with the processing of heavy workflow of communications for the firm’s broker/dealer and investment advisory business.
    Proactively stay current with applicable securities laws, rules, and regulations with respect to the regulation of financial product advertising and marketing
    Perform special projects and other duties as assigned

Posting End Date: 

*Job posting may come down early due to volume of applicants.

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, status as a protected veteran, or any other legally protected characteristic.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

 

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.


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