Compliance Specialist - WIM and CIB Compliance Training and Learning Solutions

About this role:

Wells Fargo is seeking a Compliance Specialist within Wealth and Investment Management (WIM) and Corporate and Investment Bank (CIB) Compliance Training and Learning Solutions team.

This position will support the development and execution of the Compliance Learning element of the Compliance Program Policy for WIM and CIB. This position will support activities that may include assessing training needs, determining potential solutions, partnering with others on development of training, development of assignment criteria, oversight of implementation activities, and monitoring Compliance activities. This position may also be involved with reporting and data analysis using HR provided Tableau dashboards. Executing records retention procedures will also be a key aspect of this position. Many of these activities are subject to a variety of regulatory requirements including, but not limited to the SEC, FINRA, MSRB, CFTC, NFA, OCC, and FRB.

Learn more about the career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Provide support in developing and overseeing training development with some business and functional knowledge

• Partner with business aligned compliance officers and colleagues on the assessment of training needs and the determination of the training plan

• Assist in the audience identification and the development of training assignment criteria

• Partner with multiple stakeholders in the development and execution of Compliance awareness activities

• Perform regular and ongoing reporting routines with the purpose of the oversight and monitoring of front-line activities

• Ensure the execution of proper records retention procedures and protocols compliant with securities regulatory requirements

• Oversee the Front Line's execution and challenges associated with Compliance training and awareness activities

• Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area; may be involved in a supporting role in high-risk initiatives under the supervision of more senior compliance officers.

• Support the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management

• Provide support in reporting findings and drafting recommendations to management

• Interact with team to support risk oversight and monitoring

• Manage and ensure accuracy of data

• Troubleshoot system issues to determine root cause

• Identify and recommend opportunities for process improvement and risk control development

• Establish and maintain effective relationships with various teams

• Make decisions and resolve issues to meet business objectives

• Interpret policies, procedures, and compliance requirements

• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications:

• 2+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Excellent written and verbal communication skills with proven ability to articulate complex concepts to a diverse audience

• Proven experience assessing risks and determining mitigation steps

• Strong collaboration and partnering skills

• Self-starter, able to work independently with minimal management oversight

• Strong analytical skills with high level of attention to detail and accuracy

• Experience in development and maintenance of detailed procedures

• Knowledge and experience in effective document management

• Broker-dealer related experience

• Understanding and experience in training development and implementation

• Knowledge and understanding of compliance risk in the financial services industry

• FINRA Series 7 or Series 99 or willing to obtain, or similar experience as an Associated Person of a Swap Dealer

Job Expectations:

• Ability to travel up to 15% of the time.

• This position offers a hybrid