Wells Fargo


St. Louis, Missouri



Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

Compliance Consultant 3

Wells Fargo - St. Louis, Missouri

Posted: 11/7/2018

Job Description

At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Corporate Risk helps all Wells Fargo businesses identify and manage risk. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

Within Wells Fargo Advisors (WFA) Compliance, the Communications Compliance team serves as the principal resource for associates to contact for centralized advice and guidance on a wide array of communications-related issues, including internal and external marketing, electronic infrastructure and WIM social media.

The Communications Compliance Consultant is responsible for handling the Department’s review of web site access request restricted by policy. This Consultant will lead initiatives and projects to enhance electronic communications related processes to help mitigate risk to the Firm. This Consultant will also review and approve requests for items including shared mailboxes, access to Firm systems, and archival platforms that are subject to Compliance oversight.

This position will also serve as a relationship coordinator with the Request Center, Technology Connection, Help Desk and other areas of technology to ensure that Compliance is represented in the E-Communications, software and tool space to help mitigate risks, close gaps, and address issues.
In addition to handling these areas for the Department, this associate will have additional Communication Compliance responsibilities, which could include addressing survey request, tracking E-Communication tools, acting as a project coordinator, and supporting other E-Communication request.

Please note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

Required Qualifications

  • 2+ years 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 both
  • 2+ years 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 skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization
  • Ability to work independently
  • FINRA registration including Series 7 (or FINRA recognized equivalents)
Street Address

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO


  • 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.

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