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Compliance Consultant 4 - Portfolio Compliance Consultant

Wells Fargo Menomonee Falls Full-Time
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Job Description

At Wells Fargo, we want to satisfy our customers’ 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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

Wells Fargo Asset Management (WFAM) strives to help investors achieve their financial goals through investment solutions managed by specialized investment teams and backed by collaborative service. WFAM’s investment approach centers on autonomous investment teams that maintain their own independent research, idea-generation, and decision-making processes. Its independent investment risk management approach provides a consistent, unbiased framework for analyzing and balancing risk in portfolios. WFAM offers the expertise of over 29 investment teams—each focused on specialized and niche portfolio management strategies to meet the diverse needs of our investors.

As a valued member of the Compliance team, the selected person will provide support for the WFAM compliance and investment business teams. The compliance consultant is responsible for monitoring investment teams adherence to client guidelines, internal parameters, and statutory requirements within trading-compliance system (i.e. Charles River | Bloomberg trading); In addition, liaise with Portfolio Management, Trading, Relationship Managers, and Operations to review, interpret, design, and implement client mandates and regulatory restrictions. Provide initial review and ongoing interpretation of client account investment restrictions (i.e. Investment Management Agreements, Prospectuses, Statement of Additional Information, Private Placement Memorandums, etc.) to ensure restrictions are coded accurately. Ensure that effective controls are in place to meet federal laws and regulations and provide training, advice and education on how to comply with regulatory requirements and to monitor such compliance.

Please note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

Required Qualifications

  • 6+ 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; or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both

Desired Qualifications

  • Advanced 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 manage multiple and competing priorities
  • Experience in federal securities laws, primarily the Investment Advisers Act, Investment Company Act, or 40 Act
  • Knowledge and understanding of compliance risk in the financial services industry
  • Ability to interact with all levels of an organization
  • Ability to work independently
  • Strong time management skills and ability to meet deadlines
  • Knowledge and understanding of equity and fixed income trading
  • Strong collaboration and partnering skills
  • A BS/BA degree or higher in accounting, finance, or economics

Other Desired Qualifications
  • Ability to understand processes end to end and make value-added recommendations to improve design and control structure;
  • Demonstrated ability to evaluate complex programs and initiatives and provide credible challenge to opportunities and concerns;
  • Demonstrated experience with issue resolution including root cause analysis, mitigation plans and remediation activities
  • Knowledge and understanding of both Charles River and Bloomberg systems related to compliance monitoring

Street Address

MA-Boston: 125 High Street - Boston, MA
CA-SF-Financial District: 525 Market St - San Francisco, CA
WI-Menomonee Falls: 100 Heritage Reserve - Menomonee Falls, WI


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.


Skills required

Risk Management
Financial Services
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Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, insurance, investments, mortgage, and consumer and commercial finance through our many locations, ATMs, the internet (wellsfargo.com) and mobile banking. To learn more, Wells Fargo perspectives are also available at Wells Fargo Blogs and Wells Fargo Stories.

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