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For your reference, we have included the original job posting below.
Wfa Relationship Manager 2
Job Number:
43021076
Company Name:
Wells Fargo
Job Location:
SAINT LOUIS, MO US
Job Category:
Accounting & Finance
Wfa Relationship Manager 2
The Compliance Consultant (Relationship Manager 2) is responsible for delivery of regulatory compliance consultative support to the clients of First Clearing Correspondent Services, an affiliate of Wells Fargo Corporation. First Clearing Correspondent Services (_FCCS_) provides fully disclosed clearing services and investment products and services to 100 unaffiliated introducing brokers. The Compliance Consultant reports to the Chief Quality and Risk Officer of FCCS. The Compliance Consultant partners directly with senior leaders across the firm, client firms, vendors and relationship managers in the formulation, packaging, marketing and delivery of First Clearings business protection tools (Protect Offering) for introducing brokers. The Compliance Consultant is responsible for providing compliance risk expertise and consulting, and ensuring clear comprehension of compliance issues and the tools FCCS offers to its clients in support of thier regulatory compliance programs. The role is a client facing role as the Compliance Liaison visits and confers with new and existing client firms nationally to align compliance initiatives with FCCS technology and surveillance tools. Responsibilities include Identifying training opportunities; and designing/delivering training to client firms; coaching client firms regarding effective utilization of compliance surveillance tools and reporting mechanisms are key responsibilities. Consults with client firms to ensure they understand compliance issues such as recent rule changes; effectively manages change to ensure regulatory compliance. Supports regulatory audits. May manage projects regarding regulatory initiatives impacting the business unit. Functions as an administrator for the SuperVision Surveillance System and other compliance tools offered by the firm. The role also develops educational content and host educational sessions for new client firms and prospective clients, in the form of newsletters, conferences, conference calls and live training.
Basic Qualifications: 7+ years of securities or securities related industry experience.
Minimum Qualifications: Advanced understanding of the financial services business. Proven ability to communicate and interface effectively with senior leaders/principals/FAs. Demonstrated ability to work as part of a team. Ability to identify and evaluate trends, isolate root cause, and provide swift and thorough resolution. Excellent time management, project management and presentation skills. Significant knowledge and understanding of the business (i.e. operations, technology offerings, compliance, products, services, etc). Ability and willingness to travel (e.g. 40%).
Broad command of broker dealer compliance and associated risks. Excellent verbal and written communication skills. Demonstrated ability to partner at all levels. Strong relationship and interpersonal skills. Regulatory Experience, or experience in the Compliance Department of a small broker dealer a plus.
Preferred Skills: 8+ years of compliance risk experience in the financial services industry. Product Marketing experience and client service experience in a business to business environment a plus. FINRA SERIES 7 Required, Series 8, 9/10 24 Preferred
