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Wells Fargo Compliance Senior Associate - CIB Securities Operations Compliance in Fort Mill, South Carolina

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.

The Compliance Sr Assoc will be a part of the CIB Securities Operations Compliance Team, which is is responsible for the oversight of Operations processes and controls ensuring adherence to both regulatory requirements and Wells Fargo policies and procedures. In addition to ensuring that Operations controls are documented and executed effectively to mitigate regulatory risk, the Operations Compliance team engages in audit and testing & validation reviews, third party risk management reviews, internal and external emerging risk evaluations, Major Requirement disposition and control gap assessments and applies compliance subject matter expertise and credible challenge to these processes.

In addition to performing business-as-usual compliance activities described above, this role will be responsible for leading key horizontal initiatives including the enhancement and formalization of the current compliance engagement in Operations offshore activities and a comprehensive review of FINRA Covered Functions and Covered Persons.

Specific job responsibilities include:

  • Participate in a variety of Operations meetings as an independent risk management (IRM) stakeholder, as determined relevant by the Risk and Support Team Manager

  • Expand upon subject matter expertise and become a trusted advisor to Operations teams on SEC/FINRA/MSRB regulations

  • Assist with design, implementation and ongoing performance of compliance monitoring and oversight activities. Manage changes to compliance oversight model, processes and tools, as needed

  • Assist with policy updates and developing and delivering regulatory and policy training to Operations employees subject to regulatory requirements

  • Develop job aids and resource guides for Operations and Compliance teams

  • Assist with providing information for internal testing activities, audits and regulatory requests

Required Qualifications

  • 5+ 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 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management

Desired Qualifications

  • Advanced Microsoft Office (Outlook, Excel, Word, PowerPoint, LiveMeeting and SharePoint) skills

  • Excellent verbal, written, and interpersonal communication skills

  • Strong analytical skills with high attention to detail and accuracy

  • Large-scale project management skills

  • Ability to articulate complex concepts in a clear manner

Other Desired Qualifications

  • Extensive Broker/Dealer Regulatory Compliance knowledge and experience

  • Familiarity with SEC/FINRA/MSRB rules and controls

  • Experience in one or a combination of the following: project management, program building/implementation or strategic planning

  • Securities industry experience, with specific focus on compliance or risk management

  • Highly organized with the ability to engage in several initiatives at one time, prioritize and meet deadlines

  • Sound judgment and problem solving abilities

Job Expectations

  • Registration for FINRA Series 7 must be completed within 1 year of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

Salary Information

The salary range displayed below is based on a Full-time 40 hour a week schedule.

NC-Charlotte: Min: $80,500 Mid: $115,000

NC-Charlotte: Min: $80,500 Mid: $115,000

NC-Charlotte: Min: $80,500 Mid: $115,000

NC-Charlotte: Min: $80,500 Mid: $115,000

SC-Fort Mill: Min: $80,500 Mid: $115,000

Street Address

NC-Charlotte: 301 S College St - Charlotte, NC

NC-Charlotte: 128 South Tryon Street - Charlotte, NC

NC-Charlotte: 401 S Tryon St - Charlotte, NC

NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC

SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC


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.

Company: Wells Fargo

Req Number: 5560810-1

Updated: 2021-01-21 20:32:27.991 UTC

Location: Fort Mill,SC