Wells Fargo Compliance Consultant 4 in Saint Louis, Missouri

The Complaint Resolutions Group Case Manager will be responsible for the investigation and resolution of sales practice complaints in all Wells Fargo Advisors (WFA) business channels, including the Private Client Group, Wealth Brokerage Services and Wells Fargo Advisors Financial Network. The Case Manager will be responsible for:

  • Resolving incoming written and verbal client complaints regarding broker-dealer sales practice issues by gathering relevant information, documentation, and contacting appropriate parties.

  • Analyzing gathered facts to reach a conclusion for the matter.

  • Drafting appropriate CRD U4/U5 disclosure language, when necessary.

  • Negotiating resolutions with customers, agencies, or opposing counsel with minimal supervision.

  • Maintaining detailed and thorough documentation and files surrounding the investigation of customer complaints. Inputting complaint/disclosure information in firm system of record to comply with Rule 4530 quarterly and/or required disclosure event filings.

  • Maintaining working knowledge of current FINRA and state regulatory issues as well as the firm's written supervisory procedures.

  • Working with assigned business units and other investigative groups within the firm.

  • Consulting with business to develop corrective action plans, and assists the business as needed with effective change management to ensure regulatory compliance.

  • Ensuring WFA compliance with federal, state, legal, regulatory and enterprise policy requirements.

The successful candidate will be expected to apply securities related regulatory precepts and practices to client complaint resolutions, and identify opportunities to mitigate legal, regulatory, reputational and financial Risk, ability to work both independently and in a team environment

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

  • A BS/BA degree or higher

  • A Juris Doctor (JD) degree

  • Experience identifying key issues, involve affected parties, design solutions, obtain buy-in, and communicate effectively through resolution

  • Ability to implement a solution and communicate, in clear business terms, the benefits of the proposed risk management approach-

  • Customer service focus with the ability to analyze, research, and respond to moderately complex customer or agency issues and complaints

  • Ability to negotiate and facilitate issue resolution

How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psp/PSEA/APPLICANTNW/HRMS/c/HRSHRAM.HRSAPPSCHJOB.GBL?Page=HRSAPPJBPST&FOCUS=Applicant&SiteId=1&JobOpeningId=5362843&PostingSeq=1.

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.

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.