Compliance Consultant 2 (San Francisco)

  • Address:San Francisco, CA 94102 (map)
  • Date Posted:08/10/16
  • Job Type:Full-time
  • Description:
  • Job Title:Compliance Consultant 2Job ID Number:5277659-2Location:San Francisco,CAJob Description:Job Description Let’s talk about building a rewarding career You have a proven track record of success but you’re looking for more. More responsibility. More challenges. At Wells Fargo you’ll find that opportunity. You’ll join a team of people who are smart and share your values. You can enjoy a diverse career as you learn and grow your capabilities across our multiple lines of business. Our supportive environment can help you make a difference within the company and the communities we serve. Wells Fargo & Company (NYSE: WFC) is a nationwide, diversified financial services company with $1.7 trillion in assets. Founded in 1852, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 9,000 locations, more than 12,500 ATMs, online (, and mobile devices. Wells Fargo has more than 265,000 team members in 36 countries across our approximately 90 businesses. Wells Fargo & Company was ranked No. 30 on Fortune’s 2015 rankings of America’s largest corporations. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories . ABOUT WELLS FARGO WFAM GROUP: Wells Fargo Asset Management (WFAM): Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of clients worldwide: institutions, financial advisors, and individuals. Wells Fargo Funds Distributor is the broker dealer within the WFAM umbrella and is the distributor for the Wells Fargo Funds. Wells Fargo Funds is the 15th largest mutual fund company, in the U.S. with about $230 billion in assets under management. JOB DESCRIPTION: This position will support the Funds Management Group within Wells Fargo Asset Management. This position resides within the Compliance department and is responsible for compliance oversight of communication and distribution activities. We are seeking an energetic individual to join our team as a Compliance Consultant. Responsibilities of this position include, but are not limited to, the following: Responsible for assisting in the development, implementation and monitoring of a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements. Review and approve of marketing campaign and various other electronic communications to ensure compliance with regulatory requirements. Provides consultation to Supervising Principals and Registered Representatives regarding communication supervision as necessary. Evaluates the adequacy and effectiveness of present and future policies, procedures, processes. Consults with the business to develop corrective action plans and effectively manage change to ensure regulatory compliance with communication requirements. Updates procedures as necessary. Works with assigned business units and provides compliance risk consulting and support for projects and initiatives with moderate risk to identify, assess and mitigate regulatory risk in business activities. Identifies training opportunities; may provide input to the development of training materials and delivers training. Drafts report of findings and recommendations for compliance risk management. Coordinates production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies. Assists in the coordination of site, agency or other examinations conducted by external parties. Required Qualifications 1+ year 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 both1+ year 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 skillsExcellent verbal, written, and interpersonal communication skillsStrong analytical skills with high attention to detail and accuracyAbility to interact with all levels of an organization Other Desired Qualifications FINRA registration including Series 24 and 63 (or FINRA recognized equivalents) Knowledge and experience with FINRA and SEC rules; emphasis on rules governing communications with the public Strong leadership, collaboration, and demonstrated ability to drive for results Demonstrated organizational and time management skills to manage multiple responsibilities and tasks simultaneously. Ability to work under pressure and meet tight deadlines Job Expectations Registration for FINRA Series 24 must be completed within 90 days of hire date. FINRA recognized equivalents will be accepted. 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.
Ad ID: 45561862
  • Posted by: Ad Partner | View all ads
  • Profile: Active since 08/2016
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