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Compliance Consultant 3 - Wells Fargo Advisors Compliance Employee Reviews

Wells Fargo Minneapolis Full-Time
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Job Description

At Wells Fargo, we want to satisfy our customer's financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

Within Wells Fargo Advisors (WFA) Compliance, the Special Surveillance and Reviews (SSR) group includes the team responsible for Employee Reviews. This includes reviews of candidates being considered for a position requiring licensing with the Firm pursuant to FINRA Rule 3110(e), and related oversight of registered team members while they are affiliated with the Firm.

The Employee Reviews team is seeking a Compliance Consultant to conduct Heightened Supervision and Employee Fraud reviews. The Consultant will be primarily responsible for conducting comprehensive reviews and oversight of the business activities of Financial Advisors (FA's) as part of the firm's heightened supervision program. The Consultant will also be expected to partner effectively with all levels of associates within Compliance, Legal, HR and other business units to investigate and resolve matters requiring minimal assistance. This position will also support pre-employment background check reviews and fact finding interviews related to employee investigations, to some degree.

More specifically, this position will:

  • Complete detailed reports of their comprehensive review and analysis of FA's included in the Firms heightened supervision program
  • Present findings and recommendations to the heightened supervision committee during monthly meetings
  • Provide oversight of Financial Advisors who require a special supervision plan as a condition of a state license registration
  • Perform day-to-day monitoring of newly developed reporting to assist in the identification of fraudulent activity

Required Qualifications

  • 2+ 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
  • 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field
  • Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications

  • Intermediate 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
  • Ability to evaluate risks and the impact of decisions on an overall organization
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Other Desired Qualifications
  • 5+ years brokerage-related experience
  • FINRA Registration including Series 9/10 or 24, or the ability to obtain within 6 months
  • Proven experience conducting Heightened Supervision, Compliance, and/or Regulatory reviews
  • Ability to manage multiple assignments with frequently changing priorities

Salary Information

The salary range displayed below is based on a Full-time 40 hour a week schedule.

MN-Minneapolis: Min: $62,100 Mid: $87,400
MO-Saint Louis: Min: $62,100 Mid: $87,400

Street Address

MN-Minneapolis: 600 S 4th St - Minneapolis, MN
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO


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.


Recommended skills

Financial Services
Attention To Detail
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Job ID: 5511150


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