• Job Description

  Req#: R-341192

  About this role:

  Wells Fargo is seeking a Compliance Specialist to conduct investigations in the Special Surveillance and Reviews (SSR) group. This person will conduct internal compliance investigations, generally relating to broker-dealer sales practice concerns, including research and review of documents and system information, consultation with supervision and subject matter experts, and witness interviews. They will create and execute effective investigation plans. The Compliance Specialist will work closely with branch management, Legal, Employee Relations, and other partners to research and resolve associated person disciplinary matters, including communicating effectively with all levels of associates.

  Within Wells Fargo Advisors Compliance, the Special Surveillance and Reviews (SSR) Group conducts employee investigations related to potential violations of Firm policies and securities industry regulations for Wells Fargo Advisors retail business channels. Learn more about the career areas and lines of business at wellsfargojobs.com .

  In this role, you will: Conduct investigations of associate misconduct in accordance with the Enterprise Allegation Management Policy and FINRA rules.

  • Conduct investigations on referred concerns of potential Firm policy violations
  • Complete comprehensive analyses of all types of data, conduct fact finding interviews of reported and involved parties, and summarize their conclusions, findings in a detailed report
  • Effectively communicate the results of their investigations to their direct manager to assist in determining the appropriate disposition of the investigation, as well as be able to effectively communicate their findings and conclusions to other business partners and ultimately to business leaders to assist them in making the final discipline decisions,
  • Accurately document all required information in the firm systems consistent with policy and standards.
  • Escalate risk and additional concerns identified as part of their investigations to leadership in a timely manner.

  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, US:

  • 2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

  
  Desired Qualifications:
  • FINRA registration including Series 7 (or FINRA recognized equivalents)
  • Proven experience conducting compliance and/or regulatory reviews or legal work experience
  • 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:

  • This position offers a hybrid work schedule.
  • This position is not eligible for Visa sponsorship
  • This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

  Job posting may come down early due to volume of applicants

  Posting End Date:

  12 Feb 2024

  *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.

• About the company

  Wells Fargo & Company is an American multinational financial services company with corporate headquarters in San Francisco.

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