Risk And Surveillance Control Specialist

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 Advisors is seeking a Risk and Surveillance Control Specialist responsible for supervision, monitoring and research analysis within Digital & Automated Investing (D&AI), and providing proactive solutions.

In this role, you will:

• Perform extensive review and analysis of business practices to ensure compliance with firm, industry, and regulatory guidelines
• Consult with regional and senior management on policies & procedures, controls, tools and training that impacts the retail locations
• Review confidential information to detect potential employee fraud or financial distress
• Serve as point of knowledge for D&AI associates regarding firm, compliance and regulatory policies and procedures as well as regarding suitability requirements and risk management for firm and vendor provided products and services
• May Travel to branches to conduct compliance/supervision/control reviews and provide problem resolution
• Conduct research and complex analysis in search of current and best practices as well as opportunities for additional synergies and to maximize efficiencies; gather and analyze data from multiple sources, identifying trends and presenting analysis through meaningful statistics
• May be responsible for identifying, reviewing and addressing unapproved or high risk activity within accounts or away from the firm as well as conduct preliminary surveillance, monitoring and investigative analysis of certain retail account activity and outside business activity, related controls and provide proactive resolutions.
• The position is integral in policy/process changes, process improvements, and technology enhancements with a focus on D&AI Supervision impact.
• May be required to identify training needs based on analysis as well as create, deliver and track training on an ongoing basis for ad-hoc needs as well as new hire team members.
• Complete other duties as assigned by Manager.

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.

Required Qualifications:

• 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 63 exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications:

• Strong research, organization and documentation skills
• Intermediate Microsoft Office skills
• Good analysis, tracking, and trending skills
• Ability to negotiate, influence and collaborate at all internal organizational levels
• Excellent verbal, written, and interpersonal communication skills
• Ability to work independently while prioritizing the needs of multiple projects and responsibilities
• Ability to work in a fast-paced deadline driven environment
• FINRA registration including Series 66 (or FINRA recognized equivalents)
• FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Job Expectations:

• Registration for FINRA Series 9/10 and 63/65 or 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
• Ability to travel 25% of the time.
• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, 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 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.
• This position is not eligible for Visa sponsorship.

Job Posting Locations:

• 2801 Market St, F & L Bldg., Saint Louis, MO
• 5201 Amelia Earhart Dr., Salt Lake City, UT

Required locations listed above. Relocation assistance is not available for this position.

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, age, 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.