Compliance Consultant 4 - Retail Branch Examinations

Wells Fargo   •  

Naperville, IL

5 - 7 years

Posted 252 days ago

This job is no longer available.


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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

WFA Compliance Retail Branch Examinations is responsible for conducting on-site compliance examinations of the WFA retail distribution Channels (PCG/IPCS, WBS, and FiNet) and Central Supervision Units in order to monitor for compliance with securities regulations and the internal policies and procedures established by the Firm.  As with the other compliance business units, the primary purpose of Branch Exams is to provide continuous oversight of branch-related activities within the Firm in order to identify potential risks. 

This Branch Examiner is responsible for contributing to the protection of the firm s clients, employee s assets and reputation by performing on-site reviews of the firm s compliance for Wells Fargo Advisors LLC retail channels:  Private Client Group, International Private Client Group, Wealth Brokerage Services, and Wells Fargo Advisors Financial Network.  The Examiner works independently under limited supervision, is a senior individual contributor, knows standard examination check-list yet understands what questions to ask to get to potential underlying issues that are not obviously stated.


Branch Examiner has responsibilities which include:

  • Performs reviews of policies, procedures and controls within the assigned area through the performance of on-site compliance examinations;
  • Schedules and coordinates on-site office examinations with sales office management;
  • Coordinates with other professionals both before and after the onsite visit, including Surveillance Analysts and Business Channel Supervisors;
  • Ensures appropriate pre-and-post examination reports and analyses are completed and submitted in a timely manner.  May review reports of more junior staff;
  • Participates with the sales office management and other professionals on regulatory and training matters;
  • Leads and/or participates on departmental and/or business unit project teams;
  • Provides leadership and/or mentoring for more junior staff as appropriate; and,
  • May participate in new hire interview processes and/or provide input for performance review feedback.


Note:  Ability to travel both domestically, sometimes on short notice, is essential.  Position is required to travel.


Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

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
  • A BS/BA degree or higher
  • Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)

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
  • Strong time management skills and ability to meet deadlines
  • Knowledge and understanding of financial services industry: compliance, regulatory, or legal operations
  • Strong collaboration and partnering skills
  • FINRA registration including Series 66 (or FINRA recognized equivalents)
  • FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Other Desired Qualifications

  • 5 or more years of experience in an examiner or compliance professional capacity
  • Must be able to evaluate new products, issues, policies, procedures and systems for sales practice compliance and adequacy