Divisional Governance Specialist - Client Relationship Group

at  Wells Fargo

Job Description
Wells Fargo is seeking a Divisional Governance Specialist in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com .

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 assigned 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 Management

Required 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 Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• FINRA registration including Series 9/10 (or FINRA recognized equivalents)
• FINRA registration including Series 65 or 66 (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 resolution

Job Expectations:

• May be expected to travel up to 40 percent of the time
• 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 and 65 or 66 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 acceptance.
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
• This position is not eligible for Visa sponsorship.

Posting location:

• 555 California St. Ste 2300, San Francisco, California
• 2033 N. Main St. Ste 800 & 1075, Walnut Creek, California
• Preferred locations listed above. Other locations within the Western Division footprint may be considered. Relocation assistance is not available for this position.

APPLICANTS WITH DISABILITIES

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

• 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 assigned 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 Managemen