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Financial Network Governance Specialist

2 months ago

St Louis MO USA, United States Wells Fargo Full time

About this Role:

Wells Fargo is seeking a highly skilled Financial Network Governance Specialist to join our Wealth and Investment Management team. In this role, you will be supporting senior qualified supervisors who are dedicated to partnering with complex financial practices within the channel.

Key Responsibilities:

• Participate in risk management, including supervisory risk and human capital risk

• Administer and/or support direct supervision of regulated activities for financial services practices

• Support identification of risks in the region and implement controls to mitigate risks

• Ensure that risks are appropriately addressed and promote an effective control environment

• Participate in complex initiatives to implement controls and mitigate risks

• Provide support for escalations for risk, supervisory, and human capital matters

• Collaborate with supervision, legal, compliance, human resources, credit, risk, and branch to identify risks in the region

• Participate in implementing controls to mitigate risks while leveraging a solid understanding of the firm's policies and procedures

• Collaborate and consult with business risk management to identify region risks

Requirements:

• 2+ years of experience in supervisory control, corporate insurance risk, risk management consulting, property or casualty insurance, or insurance brokerage

• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Conflict management and decision-making skills

• Ability to negotiate, influence, and collaborate to build successful relationships

• Ability to work independently

• Excellent verbal, written, and interpersonal communication skills

• Strong organizational, multi-tasking, and prioritizing skills

• Strong attention to detail and accuracy skills

• FINRA registration including Series 66 (or FINRA recognized equivalents)

Job Expectations:

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 66 (or 63 and 65) examinations or equivalent must be completed within either a 90 or 180-day time period, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. 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 is required.

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 CFR 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.

This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.

Ability to travel

Location:

Wells Fargo is an equal opportunity employer and welcomes applications 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

Location: SAINT LOUIS,Missouri