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Control Specialist - Private Client Group - Washington, DC

Wells Fargo | Washington DC 56901 USA | Full Time | Posted: 07/19/2019

Job Descriptiontop

Job Description

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) businesses build enduring client relationships through sound, thoughtful, and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance, and both individual and institutional retirement.

The Control Specialist - Private Client Group (PCG) is 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

  • 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
  • Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
  • Knowledge and understanding of brokerage: systems or applications
  • Ability to process complex transactions and perform extensive research to resolve complex customer issues
  • Knowledge and understanding of brokerage: account processes and compliance procedures
  • FINRA registration including Series 9/10 (or FINRA recognized equivalents)



Job Expectations

  • 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.
  • 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.
  • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required



Street Address

DC-Washington: 1133 Connecticut Ave Nw - Washington, DC



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.

Job Detailstop

Location Washington, DC, 56901, United States
Categories Quality Assurance/Safety

Location Maptop

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How to apply Employer provided a link where your application will be accepted. Click on the link below and follow instructions.
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Job Code 5493071
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