Compliance Manager 3

Mô tả công việc

The Internal Controls Program Manager will have responsibility for three primary control functions.Management and oversight of the Firm’s Conflicts of Interest program.  The program will establish a framework within WFA to effectively oversight conflicts of interest throughout the firm.  As part of this process, the Manager will ensure an inventory of material conflicts of interest is maintained, and provide periodic reviews, reporting and training to ensure a strong culture and transparent view of conflicts.    The Manager will also be responsible for staying current with applicable regulatory and corporate policy updates/changes and ensuring they are incorporated into the program as necessary.  Additionally, the Manager will assist in the facilitation of the Conflicts Review Committee.Management and oversight of the Firm’s Committees program.  WFA Committees are an integral part of the Firm’s overall decision making and control structure.  The Manager will be responsible for reviewing committee activities, including tracking all meetings and membership, to determine if committees are adhering to their charters.  The Manager also will ensure that the WFA Committees program is operating in accordance with the corporate Committees Policy and is aligned with WBR guidance.  Additionally, the Manager will assist in the facilitation of the Governance Review Committee.Facilitation of the Firm’s 4530(b) Process.  FINRA Rule 4530(b) requires that firms have a process in place to self-report material rule violations or regulatory standards of conduct that may have a widespread or material effect on the Firm, its customers or the markets.  The Manager is responsible for facilitating the escalation of material items to the 4530(b) Working Group for review.  The Manager will work with partners in Legal and the lines of business to ensure that issues are properly filed with FINRA within required time parameters. Additionally, the Manager will have responsibility for various reporting requirements, including Wells Fargo Commitment to Customer reporting, the WBR Risk Appetite Report and the WFA Open Issues Report.