About this role:

　　Wells Fargo is seeking a Divisional Governance Specialist in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com .

　　In this role you will:

　　Be responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and be able to report the findings to the Market Administration Management on a daily basis

　　Work with the Market Administration Management to ensure that branch compliance procedures fulfill all compliance requirements

　　Perform ongoing regulatory, compliance, and operational reviews as well as other duties as assigned, as delegated by Market Administration Management (e.g., new account forms, daily order review, etc.) for each branch (within the Market), bringing any deficiencies or concerns to Market Administration Management's attention immediately

　　Collaborate and consult with financial advisors, branch managers, supervisory principals, and Market Administration Management

　　Required Qualifications:

　　6+ months of Supervisory Control, 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 Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

　　Desired Qualifications:

　　FINRA registration including Series 9/10 (or FINRA recognized equivalents)

　　FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)

　　Knowledge and understanding of brokerage: account processes and compliance procedures

　　Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

　　Ability to process complex transactions and perform extensive research to resolve complex customer issues

　　Strong client service skills

　　Strong attention to detail and accuracy skills

　　Strong verbal, written, and interpersonal communication skills

　　Ability to negotiate and facilitate issue resolution

　　Job Expectations:

　　Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. 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 may also be required

　　Registration for FINRA Series 9/10 and 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.

　　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 position is not eligible for Visa sponsorship.

　　Ability to travel up to 20 percent of the time

　　Posting Locations:

　　999 3rd Ave Seattle, WA 98104

　　1300 SW 5th Ave Portland, OR 97201

　　777 108th Ave NE Bellevue, WA 98004

　　1201 Pacific Ave Tacoma, WA 98402

　　Preferred locations listed above. Other locations within the Western Division footprint may be considered. Relocation assistance is not available for this position.

　　Pay Range

　　$55,300.00 - $98,300.00

　　Benefits

　　Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future. Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.

　　401(k) Plan

　　Paid Time Off

　　Parental Leave

　　Critical Caregiving Leave

　　Discounts and Savings

　　Health Benefits

　　Commuter Benefits

　　Tuition Reimbursement

　　Scholarships for dependent children

　　Adoption Reimbursement

　　Posting End Date:

　　9 Feb 2024

　　* 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.

　　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.

　　Company: WELLS FARGO BANK

　　Req Number: R-334060

　　Updated: Thu Jan 18 00:00:00 UTC 2024

　　Location: PORTLAND,Oregon