CharlotteRecruiter
the smart solution for Charlotte jobs

Compliance Consultant 4 - Communication Compliance

Company: Wells Fargo
Location: Charlotte
Posted on: May 19, 2019

Job Description:

Job Description
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk.
The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.
Wells Fargo Compliance is the company's compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise
Job Description/Details:
Wealth and Investment Management (WIM) is one of the company's four main divisions. WIM businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement. The position specifically supports Wells Fargo Asset Management (WFAM) that brings together a strategic balance of investment capabilities to serve the investment needs of clients worldwide: institutions, financial advisors, and individuals.
The Compliance Consultant position resides within the WFAM Compliance department in Corporate Risk- Independent Risk and is responsible for compliance oversight of communication and distribution activities of various investment advisors and the broker dealer within WFAM. We are seeking a knowledgeable and motivated individual to join our Communication Compliance Team.
Primary Duties and Responsibilities:
Responsibilities of this position include, but are not limited to:

  • Compliance review and approval of advisor/ broker dealer marketing materials and various other electronic communications to ensure compliance with firm and regulatory requirements including SEC or FINRA.
  • Experience with Registered Investment Advisor (RIA) industry with exposure to compliance and regulatory communication standards in a financial services environment.
  • Works with the most complex business units and provides compliance risk expertise and consulting for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities.
  • Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight to a compliance function.
  • Designs and develops the most complex testing strategies, methodologies and analyses; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations.
  • Consults with business to develop corrective action plans and effectively manages change to ensure regulatory compliance.
  • Identifies training opportunities; designs/coordinates the development of training materials and coordinates or delivers training.
  • Reports findings and recommendations to executive management or management committee member/head of business.
  • Manages and/or coordinates site, agency or other examinations conducted by external parties. Leads project/virtual teams and mentors lower level staff. May directly manage 1-2 specialists/consultants.
  • Provides consultation and support to various business stakeholders across WFAM's departments regarding communication standards and regulatory no action and industry guidance.
  • Lead and manage projects with minimal supervision related to new products, regulations, or procedures for the Communication Compliance Team.
  • Research new communication developments in the industry, identify the impacts to the business, and recommend changes required to the compliance program. Assist manager with implementation of changes as appropriate. Work location(s): Boston, MA; Charlotte, NC; Menomonee Falls, WI
    **Please note that posting duration may be shortened based on job seeker volume.**

    Required Qualifications
    • 6+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both Desired Qualifications
      • Advanced Microsoft Office skills
      • Excellent verbal, written, and interpersonal communication skills
      • Strong analytical skills with high attention to detail and accuracy
      • Ability to interact with all levels of an organization Other Desired Qualifications
        • Active FINRA Series 7 and 24 licenses (or recognized FINRA equivalents) or ability to obtain
        • Strong leadership, collaboration and demonstrated ability to drive for results
        • Experience reviewing complex business processes, evaluating adequacy and effectiveness of communication policies, procedures, processes and internal controls
        • Proven ability to consistently meet deadlines
        • Good working knowledge of the Investment Advisor Advertising/Global Performance Investment Standards and Communication with the Public Standards
        • Demonstrated experience with Advanced Microsoft Office and other Wells Fargo communication and archive reporting tools
        • Education- A BS/BA degree or higher
        • Experience with regulatory communication review and reporting tools
        • Risk or compliance background
        • Solid understanding of broker/dealer regulatory requirements
        • Experience reviewing communications for international regulatory considerations
        • Must be able to multi-task and succeed in a fast-paced environment Disclaimer

          All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

          Relevant military experience is considered for veterans and transitioning service men and women.
          Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Keywords: Wells Fargo, Charlotte , Compliance Consultant 4 - Communication Compliance, Professions , Charlotte, North Carolina

Click here to apply!

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

I'm looking for
in category
within


Other Professions Jobs


CDL-A Student Truck Drivers - Highest Paid Trainees in Industry
Description: Find Your Fresh Start with CDL-A Student Truck Driver JobsFounded in 1937 as a family-owned and operated transportation provider, Paschall Truck Lines has since grown from its Kentucky roots, expanding
Company: Paschall Truck Lines
Location: Kannapolis
Posted on: 05/26/2019

Limousine / Van Driver - Courtyard Durham Research Triangle Park - (19001JBJ)
Description: Here's To Your Journey with Courtyard With more than 330 managed locations in more than 20 countries Courtyard by Marriott offers a refreshing environment that helps guests stay connected and balanced. (more...)
Company: Marriott International
Location: Burlington
Posted on: 05/26/2019

CDL-A Reefer Driving Jobs - Over 2,800 Miles Per Week - $.48 - $.50 Per Practical Mile
Description: Now Hiring Refrigerated Company Drivers We Know Our Drivers by Name Truck Driver Benefits Start at .48 to .50 per
Company: Twin Express, Inc.
Location: Kannapolis
Posted on: 05/26/2019


Vehicle Transporter/Class A CDL Driver
Description: Creating an extraordinary customer experience is at the heart of Carvana. Our goal is to place the customer in control of the car buying experience and infuse honesty and transparency back into the car (more...)
Company: Carvana
Location: Burlington
Posted on: 05/26/2019

Team Owner Operator, CDL Class A
Description: Forward Air over-the-road LTL: The foundation product for Forward Air is our over-the-road LTL service. In LTL you will run our trailers no trailer fees , drop hook from one Forward Air terminal to (more...)
Company: Forward Air
Location: Spartanburg
Posted on: 05/26/2019

Class A Drivers
Description: JOB OPENINGS FOR Seasonal and Full-time CDL Class A Drivers Call Today 214 755-6747 or Apply Online Below We are Reddy Ice The Reddy Ice culture is built on
Company: Reddy Ice
Location: Spartanburg
Posted on: 05/26/2019

CDL-A OTR Dry Van Truck Driver - Earn $75K a Year or More!
Description: Western Express is now hiring in your area. Whether you're an experienced driver or you're just starting your career, Western Express is the place
Company: Western Express
Location: Spartanburg
Posted on: 05/26/2019

CDL A Local, Regional and OTR Truck Drivers - Flexible Home Time! (Bur
Description: Local, Regional and OTR Truck Driving Jobs Available br br Benefits br Local, Regional and OTR Opportunities Available br Flexible Home Time
Company: Kenan Advantage Group
Location: Burlington
Posted on: 05/26/2019

CDL-A Driving Jobs - Hazmat/Tanker Endorsements Required - Earn $288.75 Per Day
Description: Job Description: Get the full package with Southern Pines. Hiring Tanker, Hazmat Company Drivers Benefits: Earn 288.75 per day driving over 4 hours
Company: Southern Pines Trucking
Location: Kannapolis
Posted on: 05/26/2019

Class A OTR Company Driver Job
Description: Cargo Transporters is hiring OTR company drivers. Drive well-maintained equipment, get home every week, and earn up to 66,000. Ask about getting free XM Satellite Radio. Interested Apply now Benefits (more...)
Company: Cargo Transporters
Location: Kannapolis
Posted on: 05/26/2019

Log In or Create An Account

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

Charlotte RSS job feeds