COMPLIANCE CONSULTANT 3

Mô tả công việc

 Wealth Brokerage Services (WBS) is a division of Wells Fargo Advisors, LLC which operates the nation’s third-largest brokerage business. WBS provides full-service investment advice, planning and access to stocks, bonds, mutual funds and other investments through financial advisors located in Wells Fargo banking stores and Wells Fargo Wealth Management offices. WBS Compliance supports the unique needs of the WBS business channel as the channel which represents the intersection of the brokerage and bank business models, it is critical to successfully navigate between bank and brokerage compliance requirements and to understand how the requirements may overlap or diverge. The “In-Bank Brokerage” design has specific requirements related to permitted activities, supervision, licensing, disclosures and training.  The WBS Compliance team assists WBS senior leaders to implement new business initiatives and provides support through advice and guidance. The team also helps to navigate new policy implementations for both bank and brokerage, often coordinating with Registration, HR, bank compliance and Legal. The Compliance Consultant 3 is responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight to a compliance function. Works with complex business units and provides compliance risk expertise and consulting for projects and initiatives to identify and mitigate regulatory risk in all business activities. Designs and develops compliance testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations. Consults with business to develop corrective action plans and effectively manage change to ensure regulatory compliance. Identifies training opportunities; designs/coordinates the development of training materials; delivers or coordinates training delivery. Reports findings and recommendations to senior management. Manages and/or coordinates production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies. Manages and/or coordinates site, agency or other examinations conducted by external parties. Manages project teams and may provide guidance to less experienced consultants.