Senior Compliance Specialist

About this role:

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.

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

• 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

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:

• 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 (private client/retail/international focus), 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

Job Expectations:

• Ability to work in both an independent and team environment.  Time management and organizational skills required.

• Willingness to work on-site at stated location on the job opening

• Ability to travel up to 40% of the time

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.