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Wells Fargo Field Support Governance Specialist in West Des Moines, Iowa

Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application.

At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth and Investment Management (WIM) is one of the United States' leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients' unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by building enduring client relationships through sound, thoughtful, and objective advice. Developing individualized plans for clients to help meet their financial objectives. Helping clients build, manage, preserve, and transition their financial resources and wealth.

Responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and reports the findings to the Market/Complex Admin Manager on a daily basis. Works with the Market/Complex Admin Manager to ensure that branch compliance procedures fulfill all compliance requirements. Performs ongoing regulatory, compliance, and operational reviews as well as other duties as assigned, as delegated by the Market/Complex Admin Manager (e.g., new account forms, daily order review, etc.) for each branch (within the Market/Complex), bringing any deficiencies or concerns to the Market/Complex Admin Manager's attention immediately.

Required Qualifications

  • 3+ years of financial services compliance experience

  • Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications

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

  • Strong client service skills

  • Strong attention to detail and accuracy skills

  • Effective organizational, multi tasking, and prioritizing skills

  • Strong verbal, written, and interpersonal communication skills

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

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

  • Knowledge and understanding of brokerage: systems or applications

  • 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

  • Knowledge and understanding of brokerage: account processes and compliance procedures

Job Expectations

  • 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 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

  • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, 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 review process at the time of offer acceptance.

  • 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.

  • Ability to travel up to 25% of the time

Street Address

WI-Waukesha: 20800 Swenson Dr - Waukesha, WI

WI-Milwaukee: 111 E Kilbourn Ave - Milwaukee, WI

WI-Madison: 1 Erdman Place - Madison, WI

IA-West Des Moines: 4344 Corporate Dr - West Des Moines, IA

IA-Cedar Rapids: 303 Third Ave Se - Cedar Rapids, IA

Disclaimer

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.

Company: Wells Fargo

Req Number: 5563360-3

Updated: 2021-03-06 00:28:11.823 UTC

Location: West Des Moines,IA

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