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
- 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 and 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents)
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- FINRA registration including Series 65 or 66 (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
- 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 and 65 or 66 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.
- Ability to travel up to 10 percent of the time
This position is not eligible for Visa sponsorship.
Posting Location: 450 Post Oak Road East, Westport, CT 06880
Pay Range$66,400.00 - $118,000.00 Annual
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, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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