Lead Financial Crimes Officer, Retail Brokerage Advisory

2 months ago

St Louis, Missouri, United States WELLS FARGO Full time

About this role:

Wells Fargo is seeking a Lead Financial Crimes Officer as part of our Retail Brokerage Advisory team in Financial Crimes Risk Management. The FCRM Retail Brokerage Advisory team is responsible for Independent Risk Management oversight, advisory, and credible challenge of AML frontline products and processes to ensure Compliance with Broker Dealer BSA/AML/Sanctions regulatory and policy requirements. The team provides oversight and guidance to the business on financial crimes requirements, products, and processes in partnership with FCRM Policy and FCRM Legal. The team provides oversight, challenge, and support on SHRP issues tied to Financial Crimes risk within Brokerage, documenting oversight activities in the FCRM Issue Review Tool (IRT). The team provides subject matter expertise and challenge, as necessary, on the following: RCSA implementations with financial crimes impact, financial crimes risk assessment results for the applicable brokerage RAUs, and the Compliance Aggregated Risk Assessment (CARA). The team also performs ad-hoc targeted training to the business on financial crimes subject matter as necessary.

Learn more about career areas and business divisions at .

In this role, you will:

Lead complex initiatives with moderate to high risk and act as a key participant in providing financial crimes advisory guidance

  • Provide advisory and oversight to ensure an effective financial crimes program for the company that complies with all applicable laws, regulations, and regulatory expectations including Bank Secrecy Act, Anti-Money Laundering, Counter Terrorist Financing, Global Sanctions and Fraud
  • Act as an escalation point for more complex projects
  • Create, update, maintain processes and procedures
  • Evaluate the adequacy and effectiveness of policies, procedures, processes and internal controls as it relates to the issue management process
  • Conduct or lead investigative research, root cause examination and provide advisory and/or challenge as necessary on complex financial crimes initiatives tied to business, operational or technical procedures
  • Provide guidance for development and delivery of training
  • Provide recommendations for resolving more complex situations and exercise independent judgement while developing full knowledge proficiency in the function, policies, procedures and compliance requirements
  • Make decisions in complex situations requiring understanding of policies, procedures and compliance requirements that influence and lead a broader work team to meet deliverables and drive new initiatives
  • Partner with more experienced leaders to develop innovative methods and adjustments to strategies that will minimize financial crimes risk
  • Lead projects, and virtual teams and mentor less experienced staff
  • Collaborate strategically with peers, colleagues and managers to resolve issues and achieve goals
  • Inform peers, line of business and other external partners on findings
  • Collaborate internally with Audit, Legal and senior leadership for oversight of risk management

Required Qualifications:

  • 5+ years of Financial Crimes, Operational Risk, Fraud, Sanctions, Anti-Bribery, Corruption experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

  • Experience in Financial Crimes policies and regulatory expectations
  • Understanding of Retail Broker Dealer business, structure and regulations
  • Certified Anti-Money Laundering Specialist (CAMS) designation
  • WFAMSC - Wells Fargo Anti-Money Laundering Sanctions Credential
  • Excellent verbal, written, and interpersonal communication skills
  • Risk and control evaluation experience

Job Expectations:

  • This position offers a hybrid work schedule.
  • This position is not eligible for Visa sponsorship
  • This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Job posting may come down early due to volume of applicants

Posting End Date:

18 Jul 2024

*Job posting may come down early due to volume of applicants.

We Value Diversity

At 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, status as a protected veteran, or any other legally protected characteristic.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Company: WELLS FARGO BANK

Req Number: R

Updated: Web Jul 17 01:38:38 UTC 2024

Location: SAINT LOUIS,Missouri

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