Company Name:

Wells Fargo

Location:

Saint Louis, MO

Approximate Salary:

Not Specified

Posted

December 14, 2018

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Compliance Consultant 3 (Broker-Dealer Testing Support)

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 Internal Controls, the Internal Review team conducts testing of the Firm s system of supervisory controls and annual regulatory reviews, and leads the annual CEO certification process.

The Internal Review Compliance Consultant (CC) will provide support in the planning and execution of a testing program over various areas within the brokerage and investment advisory businesses to assure compliance with federal, state, agency, legal and regulatory requirements; this encompasses evaluating the adequacy of the control environment, performing substantive testing of internal controls; creating workpapers to support testing; and reporting findings to management.

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

  • 2+ 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
  • 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field


Desired Qualifications

  • Intermediate 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
  • A BS/BA degree or higher in accounting, finance, or economics
  • Excellent verbal, written, and interpersonal communication skills


Other Desired Qualifications
  • Prefer candidate with audit experience in the financial services industry.
  • Strong critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas.
  • Certification (CPA, CIA, CFP, CFA) or advanced degree (MBA)
  • Strong organizational skills, ability to work independently and on multiple initiatives concurrently is required.
  • Have or be willing to obtain FINRA Series 7.




Street Address

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO



Disclaimer


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.


Associated topics: brokerage, commodities, dow jones, financial, nasdaq, purchase, securities broker, sell, stock, s p

Company Name:

Wells Fargo

Location:

Saint Louis, MO

Approximate Salary:

Not Specified

Posted

December 14, 2018

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