CharlotteRecruiter Since 2001
the smart solution for Charlotte jobs

Compliance Specialist

Company: Wells Fargo
Location: Charlotte
Posted on: August 7, 2022

Job Description:

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 a Compliance Specialist within the Retail Surveillance & Oversight group as a part of Independent Risk Management. Learn more about the career areas and lines of business at . This position will support, monitor, and provide frontline oversight for multiple channels within WFA, including WBS, FiNet, WellsTrade, and Digital and Automated Investing. The Compliance Specialist will also maintains open lines of communication with business partners and provides advice and guidance on brokerage sales practice compliance issues. 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
  • Support the oversight or monitoring of a risk-based compliance program
  • Provide support in developing and overseeing standards with some business and functional knowledge
  • Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area
  • Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters
  • Support the 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 support in reporting findings and drafting recommendations to management
  • Support and implement initiatives with low to moderate risk
  • Interact with team to support risk oversight and monitoring
  • Manage and ensure accuracy of data
  • Troubleshoot system issues to determine root cause
  • Research and implement new regulatory rules and manage other Registration Team related projects
  • Identify and recommend opportunities for process improvement and risk control development
  • Establish and maintain effective relationships with various teams
  • Make decisions and resolve issues to meet business objectives
  • Interpret policies, procedures, and compliance requirements
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
  • Interact with internal customers
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirementsThis 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.Required Qualifications:
    • 2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, educationDesired Qualifications:
      • Successfully completed FINRA Series 9/10 or 24 exams to qualify for immediate registration (or FINRA recognized equivalents)
      • Proven Supervisory, Brokerage Compliance experience or surveillance experience
      • Ability to interact with integrity and a high level of professionalism with all levels of an organization
      • Ability to take initiative and work independently with minimal supervision in a structured environment
      • Ability to evaluate risks and the impact of decisions on an overall organization
      • Ability to identify and manage complex issues and negotiate solutions
      • Ability to prioritize work, meet deadlines, achieve goals, and work under time constraints
      • Experiences with various wealth management applications, including SmartStation and Beta
      • Proficient in MS office applications, including Excel, Outlook, and SharePoint
      • Experience working with annuities either in sales or supervision/compliance is a plus
      • Role requires a strong work ethic and the ability to work independently, while also contributing to the effectives of the teamJob Expectations:
        • Willingness to work on-site at stated location on the job opening 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.

Keywords: Wells Fargo, Charlotte , Compliance Specialist, Other , Charlotte, North Carolina

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Log In or Create An Account

Get the latest North Carolina jobs by following @recnetNC on Twitter!

Charlotte RSS job feeds