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: 12/7/2018

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.

Wells Fargo Compliance is the company’s compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.

Within Wells Fargo Advisors (WFA) Compliance, the Communications Compliance team serves as the principal source for associates to contact for centralized advice and guidance on a wide array of communications-related issues.

Job Description:

The Communications Compliance Analyst will review, analyze and approve internal and external communications with the public to ensure compliance with regulatory requirements, internal guidelines, and other risk related issues. The individual will develop deep product expertise and knowledge of relevant regulations to be applied in reviewing materials which could range from complex investments, general market letters, seminar invitation and web content.

Specific Job Responsibilities:

As a member of the Communications Compliance team, this individual will be responsible for reviewing traditional advertising, marketing and sales literature, as well as emerging areas including electronic communications and social media.

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
  • Successfully completed FINRA Series 9/10 or 24 exams to qualify for immediate registration (or FINRA recognized equivalents)
  • Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
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
Other Desired Qualifications
  • Knowledge of FINRA and SEC advertising rules preferred
  • Excellent writing and editorial skills
  • Proven ability to understand and communicate effectively about technical, complex compliance standards and policies
  • Strong administrative and organizational skills in a deadline-driven environment
  • Ability to work independently and also as part of a high-functioning, collaborative team of legal professionals, including the ability to form relationships at all levels of the organization
  • Strong ability to prioritize and handle multiple tasks, and to be detail oriented in a fast-paced, deadline driven environment
  • Interest in, and comfortable with, emerging communications technology, both for working with colleagues and for assessing the use of marketing content in emerging communications channels, including social media
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.

Apply Now