About this role:
Wells Fargo is seeking a Compliance Solutions Lead (Lead Brokerage Relationship Manager) to join the First Clearing Business Solutions & Controls team. This role serves as a consultant to First Clearing’s introducing firms on compliance, regulatory and supervisory topics and tools. This individual plays an important role in building, maintaining and strengthening relationships across First Clearing’s client firms.
Wells Fargo Independent Solutions is responsible for the management of First Clearing, WFA Financial Network, and Wells Fargo RIA Solutions. Together these businesses comprise WIM's platform to support independent non-employee advisors and the clients who select these individuals as their financial advisors. Independent Solutions is responsible for the strategy, growth, servicing and risk management in operating these three business lines.
First Clearing provides services to independently-owned and licensed broker dealers and investment advisors. Primary services include transaction processing (trading and settlement), custody of securities and funds, and generation of client trade confirmations and monthly statements. Services may also can include a variety of other offerings including technology tools, supervisory tools, reporting tools, practice management support and FA recruiting assistance. First Clearing also makes available to these broker dealers and investment advisers, WFA/WFCS products such as advisory programs, and margin and lending products.
In this role, you will:
- Understand the regulatory landscape and its impact on our broker-dealer and investment advisor clients, leveraging Wells Fargo’s extensive compliance and risk organizations to provide consulting services, best practices, and education events. Events include Compliance Symposium discussions and in-person Risk and Compliance Forums.
- Manage client relationships and lead initiatives regarding use, servicing, change management and risk routines for First Clearing’s suite of compliance, supervisory and regulatory reporting tools. These tools include the SuperVision application for trade/surveillance reviews, Actimize-SAS alerts for AML support, and Equifax Interconnect application for CIP support.
- Lead or participate in regulatory change management efforts impacting the First Clearing line of business or First Clearing’s clients.
- Exercise independent judgment and advocacy to drive client satisfaction.
- Provide effective communication and exceptional understanding of the line of business platform.
- Collaborate and consult with peers, colleagues and leaders to resolve issues and achieve goals.
Required Qualifications:
- 5+ years of Business Relationship experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
- 5+ years experience in supervisory control and/or regulatory compliance for brokerage and advisory businesses
- 3+ years experience with compliance, supervisory, and regulatory reporting tools
- Strong interpersonal and communications skills, including a demonstrated ability to summarize and present complex information in a simple and easy format.
- Ability to interact with all levels, including client firm leadership
- Ability to work on multiple efforts, adjusting priorities as needed to drive client satisfaction while meeting business deadlines
- Series 7, 24, 9/10, or 66 Series license(s) desired
Job Expectations:
- This position is not eligible for Visa sponsorship
- Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
- This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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.
Posting Location:
- 2801 Market Street - Saint Louis, MO 63103
- Required location listed above. Relocation assistance is not available for this position.
Posting End Date:
13 Apr 2025
*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.
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