Feb 20, 2020
Job Description Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application. 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. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company. Wells Fargo Compliance (WFC) is the company's compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations, and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes, and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise. The Compliance Senior Manager of the Independent Channel Programs will be a responsible for directing, leading, and managing the Team Members that support and oversee the Wells Fargo Advisors (WFA) Independent Brokerage Group channels of Wells Fargo Advisors Financial Network (FiNet), Wells Fargo Advisors Solutions (WFAS), First Clearing Correspondent Services (FCCS), and the FCCS Registered Investment Advisor (RIA) Custodial Platform. The ideal candidate will be a knowledgeable leader, collaborator, and problem solver who has a comprehensive knowledge of both risk management and oversight, and is also able to find creative solutions to help the senior management of those channels achieve their strategic goals. The Manager of Independent Channel Programs role will be responsible for the following activities: Partner with, support the initiatives of, and provide critical challenge to the activities of FiNet Assist with establishing and implementing compliance, legal, and risk governance and oversight of the FiNet & WFAS supervisory, recruiting, and business strategy functions to stay abreast of ongoing business process changes and regulatory & corporate expectations Support and provide critical challenge to the initiatives of First Clearing Correspondent Services and the new FCCS RIA Custodial Platform Participate in the strategic initiatives of FiNet, WFAS, and FCCS, and represent Compliance at senior leader meetings, inculcating a culture of compliance throughout the lines of businesses Work with Legal, Risk, and Control partners in WFA, Wealth & Investment Management (WIM), and WFC to ensure FiNet & WFAS policies conform to Enterprise policies and, where necessary, ensure that any exceptions to policy are properly escalated, documented, and approved Influence line of business teams to resolve issues, develop sound corrective actions, and strengthen internal controls Support regulatory corrective actions and associated working groups designed to resolve outstanding issues Foster an environment that supports strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance, and other corporate stakeholders to facilitate transparency, balance, and credible challenge Sustain a strong risk culture that identifies, and provides oversight and escalation of, existing and emerging compliance issues across business lines, legal entities, geographies, and jurisdictions, and escalate compliance issues to senior compliance management Manage, lead, and direct Team Members of the Independent Channel Program Compliance Group as they support their various channel partners As a Team Member Manager , you are expected to achieve success by leading yourself, your team, and the business. Specifically you will: Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them. Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks. Required Qualifications 10+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 10+ years of financial services industry experience, of which 7+ years must include direct experience in risk management 3+ years of management experience Desired Qualifications Excellent verbal, written, and interpersonal communication skills Strong analytical skills with high attention to detail and accuracy Ability to evaluate risks and the impact of decisions on an overall organization Ability to navigate complex business relationships Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment FINRA registration including Series 7 (or FINRA recognized equivalents) FINRA registration including Series 24 (or FINRA recognized equivalents) Job Expectations Willingness to work on-site at stated location on the job opening 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.
St. Louis, MO, USA