- Be responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and be able to report the findings to the Market Administration Management on a daily basis
- Work with the Market Administration Management to ensure that branch compliance procedures fulfill all compliance requirements
- Perform ongoing regulatory, compliance, and operational reviews as well as other duties as assigned, as delegated by Market Administration Management (e.g., new account forms, daily order review, etc.) for each assigned branch (within the Market), bringing any deficiencies or concerns to Market Administration Management's attention immediately
- Collaborate and consult with financial advisors, branch managers, supervisory principals, and Market Administration Management
- 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)
- Knowledge and understanding of brokerage: account processes and compliance procedures
- 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
- Strong client service skills
- Strong attention to detail and accuracy skills
- Strong verbal, written, and interpersonal communication skills
- Ability to negotiate and facilitate issue resolution
- May be expected to travel up to 40 percent of the time
- US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 and 65 or 66 examinations or equivalent must be completed within either a 90 or 180-day time period, depending 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. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, 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 licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required.
- This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
- This position is not eligible for Visa sponsorship.
- 555 California St. Ste 2300, San Francisco, California
- 2033 N. Main St. Ste 800 & 1075, Walnut Creek, California
- 401(k) Plan
- Paid Time Off
- Parental Leave
- Critical Caregiving Leave
- Discounts and Savings
- Health Benefits
- Commuter Benefits
- Tuition Reimbursement
- Scholarships for dependent children
- Adoption Reimbursement
- Job posting may come down early due to volume of applicants.
-
Government Procurement Specialist
3 days ago
L N Curtis & Sons Walnut Creek, United StatesJob Type · Full-time · Description · The USG (Government) Procurement Specialist position requires management and facilitation of the procurement process for government contracts, ensuring timely response to RFQ requests, sourcing products from various suppliers, and submitting ...
-
Government Contracts Specialist
4 weeks ago
Promise Oakland, United StatesCompany Overview · Promise empowers utilities and government agencies to create flexible, affordable solutions for individuals struggling with debt. Our intuitive approach to payment plans and relief distribution leads to improved enrollment and recovery rates that significantly ...
-
Government Contracts Specialist
2 hours ago
Promise Oakland, United StatesCompany Overview · Promise empowers utilities and government agencies to create flexible, affordable solutions for individuals struggling with debt. Our intuitive approach to payment plans and relief distribution leads to improved enrollment and recovery rates that significantly ...
-
Divisional Governance Specialist
3 weeks ago
Wells Fargo & Company SAN FRANCISCO, United StatesBe responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market and be able to report the findings to the Market Administration Management on a daily basis. Work with the Market Administration Client Relations, Relationshi ...
-
Contracts Specialist, Federal Government
2 hours ago
IMSolutions West Valley City, United StatesIMSolutions, LLC Contracts Specialist, Federal Government - All Levels Salt Lake City , Utah Apply Now Contracts Specialist, Federal Government - All LevelsRemoteFull TimeExperiencedShare )IMSolutions seeks Contracts Specialists (Procurement/Acquisition) at all levels to fill mul ...
-
Talent Acquisition Governance Specialist
2 days ago
General Motors West Valley City, United StatesGeneral Motors Talent Acquisition Governance Specialist Salt Lake City , Utah Apply Now This role is based remotely, but if you live within a 50-mile radius of Atlanta, Austin, Detroit, Warren, Pontiac, Milford or Mountain View, you are expected to report to that location three t ...
-
Government Contracts Specialist
4 weeks ago
Promise Oakland, United StatesCompany Overview · Promise empowers utilities and government agencies to create flexible, affordable solutions for individuals struggling with debt. Our intuitive approach to payment plans and relief distribution leads to improved enrollment and recovery rates that significantly ...
-
Accent on Languages Berkeley, United StatesJob Description · Job DescriptionSalary: $30-$40/hourly · We are looking for a Government Proposal Specialist who will be responsible for identifying, researching, and pursuing government contracts and proposals related to translation and interpretation services. This role involv ...
-
Amazon San Francisco, United StatesGovernance Specialist enables Amazon business leaders to understand the Information Security Policy and operate to maintain Customer Trust by guarding the confidentiality and integrity of Amazon and customer data. We assess risk, classify data and systems, detect potential intrus ...
-
Temporary Information Governance Specialist
1 week ago
Fenwick & West LLP Silicon Valley, United StatesJob Description Summary: · Our Information Governance department has an opening for a temporary Specialist (approximately 8 months) who will be responsible for collecting, parsing and transforming data across repositories into structured formats. This role will ensure data accura ...
-
Industrial Water
6 days ago
Brown and Caldwell Walnut Creek, United States Full timeThe Industrial Water Technical Practice at Brown and Caldwell is seeking a Physical/Chemical Treatment National Specialty Leader (NSL) who will set the vision and strategy for the technical specialty while ensuring alignment to the company strategy, industrial water technical pra ...
-
Business Processing Specialist
1 week ago
CGI Walnut Creek, United StatesBusiness Processing Specialist - Walnut Creek · Category: Administration · Main location: United States, California, Walnut Creek · Position ID:J · Employment Type: Full Time · Position Description: · CGI Federal's Housing Compliance team partners with a local public housing ...
-
Adult Psychiatrist
2 weeks ago
Contra Costa County (CA) Contra Costa County, United StatesContra Costa County Behavioral Health Services seeks a board-eligible/certified Adult Psychiatrist to serve in one of our regional behavioral health clinics - San Pablo, Concord, and Antioch. The position is part-time to full-time. · Annual Salary: $245, $279,240.96 · Employee s ...
-
Lead Project Manager
2 weeks ago
Harvest Technical Services, Inc. Walnut Creek, United StatesJob Description · Job DescriptionThe Lead Project Manager will work within theTransmission & Distribution Global Practice handling a project load within the region in a dynamic manner based uponthe core values of client satisfaction, commitment, dedication, integrity, safety and ...
-
Child & Adolescent Psychiatrist
2 weeks ago
Contra Costa County (CA) Contra Costa County, United StatesContra Costa County Behavioral Health Services seeks a board-eligible/certified Child & Adolescent Psychiatrist to serve in one of our regional behavioral health clinics - San Pablo, Concord, and Antioch. The position is part-time to full-time. · Annually Salary: $257, $292,189.9 ...
-
Contracts and Grants Specialist I
23 hours ago
Contra Costa County Walnut Creek, United StatesThe Contra Costa County Health Services Department is offering an excellent career opportunity for qualified individuals interested in the Contracts and Grants Specialist I position. · Why Join Contra Costa Health Services? · Contra Costa Health Services (CCHS) mission is to ca ...
-
Adoption Specialist
1 week ago
Joybound People & Pets Walnut Creek, United StatesJob DetailsJob Location: Joybound - Walnut Creek, CAPosition Type: Full TimeSalary Range: $ $30.50 HourlyDescriptionPosition Summary:Are you interested in joining a dynamic and growing team that helps Joybound achieve its mission of connecting animals to people and people to anim ...
-
HF&H Consultants, LLC. Walnut Creek, United StatesRead More · We are looking for a candidate with 5+ years of experience as a Municipal Management Analyst, Municipal Administrative Analyst, Contracts Specialist, or Waste and Recycling Manager, who is interested in having a broader impact by moving to a consultant position. The c ...
-
Team Leader,Operations
1 day ago
Crate and Barrel Walnut Creek, United StatesWe inspire purpose-filled living that brings joy to the modern home. With a team of more than 8,000 associates spanning 130 store and distribution locations across the U.S. and Canada, we achieve together, drive results and innovate to inspire. Drawn together by a shared passion ...
-
On-call Crew Chief and Archaeologist
23 hours ago
Stantec Walnut Creek, United StatesOn-call Crew Chief and Archaeologist J ) · **Description** · Grounded in safety, quality, and ethics, our experts lead their fields and guide our work with rigor, a creative spirit, and vision for growth. We draw from more than 20 technical specialties around the globe and are co ...
Divisional Governance Specialist - Walnut Creek, United States - Wells Fargo
Description
Wells Fargo is seeking a Divisional Governance Specialist in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business atIn this role you will:
Required Qualifications:
Desired Qualifications:
Job Expectations:
Posting location:
Pay Range
$66, $118,000.00
Benefits
Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future.
Posting End Date:
26 May 2024
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company.
They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.