Senior Compliance Specialist, Wells Fargo

Wells Fargo

Location:
United States, Saint Louis ▼
Charlotte
Tempe

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Wells Fargo is seeking a Senior Compliance Specialist to join the Retail Branch Exams Team. The Branch Examiner is responsible for contributing to the protection of the Firm’s clients, employees, assets and reputation by performing on-site compliance reviews of WFA’s retail channels: Integrated Branch Network, International Private Client Group, and Wells Fargo Advisors Financial Network. The Examiner works independently under limited supervision, is a senior individual contributor, knows the standard examination checklist, and also understands what questions to ask to uncover potential underlying issues that are not obviously stated.

Job Responsibility:

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
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
Report findings and make recommendations to management appropriate committees
Interpret policies, procedures, and compliance requirements

Requirements:

4+ years of Compliance experience, or equivalent demonstrated through work experience, training, military experience, or education
FINRA Series 7/63 Licenses or equivalent experience
College degree with business emphasis or equivalent experience in a regulatory, compliance, or investigative role
Demonstrated knowledge of the financial services industry, regulatory requirements, and experience in analyzing business risk
5 or more years of experience in an examiner or compliance professional capacity
Strong interpersonal skills, including coaching skills
Good written and oral communication skills
Strong analytical, investigative skills and attention to detail
Ability to evaluate new financial products, issues, policies, procedures and systems for sales practice compliance
Demonstrated organizational and time management skills
Demonstrated partnering and teamwork skills
Prefer FINRA Licensing 9/10 and 63/66 or equivalent, or ability to obtain within an agreed upon time
Ability to work in both an independent and team environment
Time management and organizational skills required
Willingness to work on-site at stated location
Ability to travel up to 40% of the time

Additional Information:

Job Posted:
May 04, 2025

Expiration:
May 08, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Senior Compliance Specialist

Wells Fargo

Location:United States, Saint Louis ▼CharlotteTempe

Category:Finance

Contract Type:Employment contract