Compliance Specialist - WIM Compliance Pre-Registration Team

About this role:

Wells Fargo is seeking a Compliance Specialist to join the WIM Compliance Pre-Registration team.  Learn more about the career areas and business divisions at wellsfargojobs.com

In this role, you will:

•    Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
•    Oversee the Front Line's execution and challenges appropriately on compliance related decisions
•    Support the oversight or monitoring of a risk-based compliance program
•    Provide support in developing and overseeing standards with some business and functional knowledge
•    Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area
•    Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters
•    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
•    Research and implement new regulatory rules and manage other Registration Team related projects
•    Identify and recommend opportunities for process improvement and risk control development
•    Establish and maintain effective relationships with various teams
•    Interpret policies, procedures, and compliance requirements
•    Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
•    Interact with internal customers
•    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:

• Series 7 FINRA License
• Knowledge and understanding of Broker-Dealer regulatory requirements 
• Excellent verbal, written, and interpersonal communication skills including the ability to communicate effectively across various stakeholders including conducting difficult conversations and persuasive messaging
• Ability to effectively decision candidates for licensing through review of candidate’s background, experience, FINRA history and credit/criminal history
• Ability to build effective relationships across a matrixed organization to effectively communicate and decision candidates for licensing
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important ​

Job Expectations:

• Saint Louis, MO
• This position offers a hybrid work schedule
• Required location(s) listed above. Relocation assistance is not available for this position.

• 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.

  Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Posting End Date: 

18 May 2025

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating