Compliance Consultant 4

Wells Fargo   •  

Saint Louis, MO

5 - 7 years

Posted 159 days ago

5405643

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.

Within WFA Compliance, the Regulatory Sourcing & Analysis Team (“RSA”) supports efforts to influence regulatory policy-making and performs the initial regulatory analysis and impact assessment on new regulations affecting the retail brokerage within Wells Fargo & Co.

The Compliance Consultant (“Consultant”) will be responsible for sourcing regulations from various regulators, summarizing relevant details and interpretative issues and identifying potential impacts on the firm’s business practices, policies and procedures. The Consultant will work closely with subject matter experts in the various lines of business to facilitate additional analysis and confirm impacts. Additionally, the Consultant will advise on the regulation during the initial stages of implementation projects and further support such efforts by providing support to the implementation working groups during transition. The Consultant will also assist in communicating impactful regulations and emerging regulatory patterns across the firm.  

RSA also has primary responsibility for drafting and submitting regulatory comment letters on behalf of Wells Fargo Advisors. The Consultant will support these efforts by leading and coordinating discussions with subject matter experts to identify matters that merit comment, develop a position and then draft a comment letter. 

Please Note: 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

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
  • Ability to synthesize complex analytical findings into executive level communications
  • Strong collaboration and partnering skills
  • Experience coordinating multiple tasks within aggressive time frames
  • Superior project management skills including the ability to handle multiple projects concurrently
  • Brokerage operations or compliance experience
  • A Juris Doctor (JD) degree
  • FINRA registration including Series 7 (or FINRA recognized equivalents)

Other Desired Qualifications

  • Experience analyzing and interpreting statutes, rules and regulations.