Wells Fargo


St. Louis, Missouri



Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

Compliance Consultant 4 - Retail Branch Examiner

Wells Fargo - St. Louis, Missouri

Posted: 12/17/2018

Job Description

Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through more than 8,200 locations, 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 42 countries and territories to support customers who conduct business in the global economy. With approximately 265,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 25 on Fortune’s 2017 rankings of America’s largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.

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 Retail Branch Examinations team is responsible for conducting on-site compliance examinations of the WFA retail distribution Channels and Central Supervision Units in order to monitor for compliance with securities regulations and the internal policies and procedures established by the Firm.

The Branch Examiner is responsible for contributing to the protection of the Firm’s clients, employees, assets and reputation by performing on-site compliance reviews of WFA’s retail channels: Private Client Group, International Private Client Group, Wealth Brokerage Services, and Wells Fargo Advisors Financial Network. The Examiner works independently under limited supervision, is a senior individual contributor, knows the standard examination check-list, and also understands what questions to ask to uncover potential underlying issues that are not obviously stated.

  • Performs reviews of policies, procedures and controls within the assigned area through the performance of on-site compliance examinations;
  • Schedules and coordinates on-site office examinations with sales office management;
  • Coordinates with other professionals both before and after the on-site visit, including Surveillance Analysts and Business Channel Supervisors;
  • Ensures appropriate pre-and-post examination reports and analyses are completed and submitted in a timely manner. May review reports of more junior staff;
  • Participates with the sales office management and other professionals on regulatory and training matters;
  • Leads and/or participates on departmental and/or business unit project teams;
  • Provides leadership and/or mentoring for more junior staff as appropriate; and,
  • May participate in new hire interview processes and/or provide input for performance review feedback.

Note: Ability to travel both domestically and internationally, sometimes on short notice, is essential. Position is required to travel.

Location is in St 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
  • A BS/BA degree or higher in business or management
  • Knowledge and understanding of financial services industry: compliance, regulatory, or legal operations
  • 5+ years of risk and regulatory compliance experience
  • FINRA registration including Series 7 (or FINRA recognized equivalents)
  • Strong organizational, multi-tasking, and prioritizing skills
  • Strong collaboration and partnering skills
  • FINRA registration including Series 9/10 (or FINRA recognized equivalents)
  • FINRA registration including Series 66 (or FINRA recognized equivalents)
Other Desired Qualifications
  • Ability to evaluate new financial products, issues, policies, procedures and systems for sales practice compliance
Job Expectations

  • Ability to travel up to 30% of the time

  • 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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