Wells Fargo
Senior Compliance Specialist - Special Surveillance Reviews & Research group
About this role:
Wells Fargo is seeking a Senior Compliance Specialist to conduct investigative research in the Special Surveillance Reviews & Research group (SSR)
In this role, you will:
- Conduct research into potential associate misconduct in accordance with the Enterprise Allegation Management Policy and FINRA rules.
- Conduct research on referred concerns of potential Firm policy violations
- Complete detailed analyses of all types of complaint related data and summarize their conclusions and findings in a detailed report
- Accurately document all required information in the firm systems consistent with policy and standards.
- Escalate risk and additional concerns identified as part of their research to leadership in a timely manner.
- Provide leadership to other associates in the group.
The successful candidate will also:
- Provide oversight and monitoring of business group risk-based compliance programs
- Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
- Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
- Report findings and make recommendations to management and appropriate committees
- Identify and recommend opportunities for process improvement and risk control development
- Interpret policies, procedures, and compliance requirements
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
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:
- Series 7 and 9/10
- Proven experience conducting compliance and/or regulatory reviews or legal work experience
- Proven experience in working with customer complaints
- Proven ability to work in a fast-paced environment that requires a high level of accuracy and organization
- Ability to articulate complex concepts in a clear manner
- Excellent oral and written communication skills
- Ability to handle multiple assignments and adjust to frequently changing priorities, while completing work under tight deadlines
Job Expectations:
- Willingness to work on-site at stated location on the job opening
-
You should be aware specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
Job posting locations:
- 401 S Tryon St Charlotte, NC
- 114 N Beaumont St - D Bldg. St. Louis, MO
Posting End Date:
3 Apr 2025
*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.
Wells Fargo Charlotte, North Carolina, USA Office
355 W Martin Luther King, Jr BLVD, Charlotte, NC, United States, 28202
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