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At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired.Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.About this role:Wells Fargo is seeking a Divisional Governance Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com .In this role, you will:Participate and consult regarding policies and procedures, controls, tools and training
Identify opportunities for additional synergies and to maximize efficiencies within the private client group
Review and analyze controls to manage high risk investment strategies and complex products
Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
Present recommendations for resolving complex analysis in search of current and best practices
Gather and analyze data, identify trends and present analysis through meaningful statistics
Develop expertise in firm, compliance and regulatory policies and procedures
Collaborate and consult with Financial Advisors, Regional and more experienced Management, Private Client Group, Branch. Managers, Operation Managers, Supervision Managers, and varying Business Units
Required Qualifications, US:2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
Desired Qualifications:2+ years of financial services experience
2+ years of financial services compliance experience
Strong analytical skills with high attention to detail and accuracy
Excellent verbal, written, and interpersonal communication skills
Strong presentation skills
Ability to interact with all levels of branch associates and business units, including managers and advisors
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
FINRA registration including Series 9/10 (or FINRA recognized equivalents)
Job Expectations:Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position
Compliance with state law registration and licensing requirements is mandatory
In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply
Additional requirements include meeting enhanced financial fitness and criminal background standards
Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance
For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
Posting Locations :100 Crescent CT, Dallas, TX 752011 50 3rd Ave S - Ste 2100, Nashville , TN 37201100 Congress Ave. #1650 Austin, TX 787018115 Preston Rd. #300, Dallas, TX 752252700 Post Oak Blvd #900, Houston, TX 770569311 San Pedro #1200, San Antonio, TX 78216201 Main St. #1700, Fort Worth, TX 761021250 Poydras St. 24th Floor, New Orleans, LA 701132501 20th Place South #350, Birmingham, AL 352236075 Poplar Ave #650, Memphis, TN 38119150 3rd Ave South #2100, Nashville, TN 37201211 N. Robinson #1600, Oklahoma City, OK 73102We Value DiversityAt Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.Company: WELLS FARGO BANKReq Number: R-172114-2Updated: Wed Jun 22 08:03:48 GMT 2022Location: Birmingham,Alabama
Vacancy expired!