Wells Fargo


St. Louis, Missouri



Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Compliance Consultant 4 (Market Reviews Unit)

Wells Fargo - St. Louis, Missouri

Posted: 11/4/2018

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 Compliance, the Retail Surveillance & Oversight group conducts retail brokerage transaction oversight through both systemic and targeted monitoring. The team maintains open lines of communication with business partners and provides advice and guidance on brokerage sales practice compliance issues.

The Surveillance Consultant will analyze trade, account, and Financial Advisor activity for compliance with various rules, regulations and policies. Analysis will be completed in connection with SuperVision system alerts, as well as a broad range of reporting.

Specific Job Responsibilities:

  • Identify, escalate, and mitigate risk by providing guidance, recommendations, and reporting to Qualified Supervisors on matters involving elder client accounts, low-priced security transactions, targeted security reviews and private security transactions
  • Engage, collaborate and partner with proper business, risk, and compliance units to timely and effectively address issues, concerns, risk, and compliance matters
  • Research matters relating to violations of the Firm’s Compliance policies, industry rules, and other team member misconduct, detected through surveillance processes, including partnering with the Special Surveillance and Reviews (SSR) Group within Compliance where formal compliance disciplinary action is likely to be warranted
  • Provide leadership by assisting team members with questions and providing guidance when needed with regard to industry rules, Firm policies and business practices

Location: Saint Louis, MO

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

  • 6+ 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; or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both
Desired Qualifications

  • Advanced 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
  • Strong organizational, multi-tasking, and prioritizing skills
  • Ability to meet stringent deadlines
  • Ability to think creatively to find innovative solutions to complex analytical questions
Other Desired Qualifications
  • FINRA registration including series 7 and 9/10 or 24
  • Proven experience conducting compliance and/or regulatory investigations
  • Ability to take initiative and work independently with minimal supervision
  • Strong retail brokerage product knowledge
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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