Client Relationship Group - Divisional Governance Specialist
Company: Wells Fargo
Location: Alpharetta
Posted on: August 7, 2022
Job Description:
Job Description:At Wells Fargo, we are looking for talented
people who will put our customers at the center of everything we
do. We are seeking candidates who embrace diversity, equity, and
inclusion in a workplace where everyone feels valued and
inspired.Help us build a better Wells Fargo. It all begins with
outstanding talent. It all begins with you.About this role:Wells
Fargo is seeking a Field Support Governance Specialist in Wealth
and Investment Management as part of Wells Fargo Advisors. Learn
more about our career areas and lines of business at .In this role
you will:
- Be responsible for reviewing all compliance systems and
reporting as required for the assigned branches within the Market
and be able to report the findings to the Market Administration
Management on a daily basis
- Work with the Market Administration Management to ensure that
branch compliance procedures fulfill all compliance
requirements
- Perform ongoing regulatory, compliance, and operational reviews
as well as other duties as assigned, as delegated by Market
Administration Management (e.g., new account forms, daily order
review, etc.) for each branch (within the Market), bringing any
deficiencies or concerns to Market Administration Management's
attention immediately
- Collaborate and consult with financial advisors, branch
managers, supervisory principals, and Market Administration
ManagementRequired Qualifications:
- 6+ months of Supervisory Control, Risk Management Consulting,
Property or Casualty Insurance, Insurance Brokerage experience, or
equivalent demonstrated through one or a combination of the
following: work experience, training, military experience,
education
- Successfully completed FINRA Series 7 and 66 (or 63 and 65)
exams to qualify for immediate registration (or FINRA recognized
equivalents)Desired Qualifications:
- FINRA registration including Series 9/10 (or FINRA recognized
equivalents)
- Knowledge and understanding of brokerage: account processes and
compliance procedures
- Ability to make timely and independent judgment decisions while
working in a fast-paced and results-driven environment
- Ability to process complex transactions and perform extensive
research to resolve complex customer issues
- Strong client service skills
- Strong attention to detail and accuracy skills
- Strong verbal, written, and interpersonal communication
skills
- Ability to negotiate and facilitate issue resolutionJob
Expectations:
- Obtaining and/or maintaining appropriate FINRA license(s) is
required for ongoing employment in this position
- Compliance with state law registration and licensing
requirements is mandatory
- In addition to state registration and licensing requirements,
specific product licenses or SAFE licensing may apply
- Additional requirements include meeting enhanced financial
fitness and criminal background standards
- Wells Fargo will initiate the FINRA licensing review process at
the time of offer acceptance
- For specific FINRA qualification exams obtained after
9/30/2018, the Securities Industry Essentials (SIE) exam
co-requisite may also be required
- Registration for FINRA Series 9/10 must be completed within a
90 or 180-day time period contingent upon number of license(s)
needed if not immediately available to transfer upon hire. FINRA
recognized equivalents will be accepted. This will be communicated
at time of offer acceptancePosting Jobs: Must sit within South
Carolina and/or Georgia 950 E Paces Ferry Rd, ATLANTA, GA 30326 th
St NW Bldg 100, ATLANTA, GA 30363 320 Broad Street, 4th Floor,
Charleston, SC 2915 S Main Street, 2nd Floor, Greenville, SC 29We
Value Diversity At Wells Fargo, we believe in diversity, equity and
inclusion in the workplace; accordingly, we welcome applications
for employment from all qualified candidates, regardless of race,
color, gender, national origin, religion, age, sexual orientation,
gender identity, gender expression, genetic information,
individuals with disabilities, pregnancy, marital status, status as
a protected veteran or any other status protected by applicable
law. Employees support our focus on building strong customer
relationships balanced with a strong risk mitigating and
compliance-driven culture which firmly establishes those
disciplines as critical to the success of our customers and
company. They are accountable for execution of all applicable risk
programs (Credit, Market, Financial Crimes, Operational, Regulatory
Compliance), which includes effectively following and adhering to
applicable Wells Fargo policies and procedures, appropriately
fulfilling risk and compliance obligations, timely and effective
escalation and remediation of issues, and making sound risk
decisions. There is emphasis on proactive monitoring, governance,
risk identification and escalation, as well as making sound risk
decisions commensurate with the business unit's risk appetite and
all risk and compliance program requirements. Candidates applying
to job openings posted in US: All qualified applicants will receive
consideration for employment without regard to race, color,
religion, sex, sexual orientation, gender identity, national
origin, disability, or status as a protected veteran. Candidates
applying to job openings posted in Canada: Applications for
employment are encouraged from all qualified candidates, including
women, persons with disabilities, aboriginal peoples and visible
minorities. Accommodation for applicants with disabilities is
available upon request in connection with the recruitment
process.
Keywords: Wells Fargo, Alpharetta , Client Relationship Group - Divisional Governance Specialist, Other , Alpharetta, Georgia
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