Jan 22, 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 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 WFA Compliance Procedures Administrations team is responsible for ensuring that Wells Fargo Advisors has effective documented procedures that comply with regulatory and company requirements. The team works collaboratively with procedure owners across the Firm to develop and publish operational and supervisory procedures. The Procedure Administration Compliance Manager supervises the day-to-day activities of compliance consultants that work directly with procedure owners and other stakeholders. The manager also has responsibilities for ensuring that the system and the team operations comply with regulatory and corporate requirements. Additionally, the manager is expected to: * Work closely with front line and compliance teams to establish and maintain effective procedures * Report findings and recommendations to Compliance, Risk and business line management * Manage, coach, mentor and recruit current and future team members * Provides oversight of team members' day to day responsibilities to ensure deadlines are met and procedures are created and updated within an allotted time frame. * Develop and implement long-term strategies along with general maintenance, testing and deployments of the P&P Application. * Prepares management metrics on a monthly basis. * Maintain the firm's books and records * Respond to requests from internal and external examiners 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. 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 7+ 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 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management 2+ years of leadership experience Desired Qualifications 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 Advanced Microsoft Office skills Strong organizational, multi-tasking, and prioritizing skills Ability to develop partnerships and collaborate with other business and functional areas Knowledge and understanding of project management methodologies, processes, and tools Other Desired Qualifications * Knowledge of brokerage industry, including related securities regulators and regulations, including the changing brokerage regulatory environment * Direct experience working with a financial services firm which had a diversified portfolio of business with variations in business model, operations, policies and procedure * Experience with processes, tools and methodologies related to procedures and/or policy development and implementation * Proven ability to effectively manage issues and risks including the identification, analysis, documentation and escalation steps * Experience related to communications, such as planning, development in multiple mediums, and/or coordination with clients * Experienced in managing and/or supervising a collaborative, high-performing team Job Expectations Willingness to work on-site at stated location on the job opening Salary Information The salary range displayed below is based on a Full-time 40 hour a week schedule. MO-Saint Louis: Min: $110,600 Mid: $158,000 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