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About this role :
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 at wellsfargojobs.com .
In this role you will :
g., new account forms, daily order review, etc.) for each 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
Required Qualifications :
Desired Qualifications :
Job Expectations :
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.
Posting location :
Posting End Date : 13 May 2024
13 May 2024
Job posting may come down early due to volume of applicants.
We Value Diversity
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.
Candidates applying to job openings posted in Canada : Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities.
Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
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.
Last updated : 2024-05-10
Full Time
Banking
$95k-124k (estimate)
05/12/2024
05/12/2024
wellbourne.com
Menlo Park, CA
<25
Banking