WFA Registration Associate

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 are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

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

Wealth & Investment Management, or 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

WIM serves clients through the following businesses:

• Wells Fargo Private Bank serves high-net-worth individuals and families.
• Abbot Downing serves ultra-high-net-worth individuals and families.
• Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers.
• Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide.

Through Wells Fargo Private Bank and Abbot Downing, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.

The WFA Registration Associate is responsible for implementing and monitoring the registration program through effective and efficient processes with an emphasis on service and compliance with internal and external policies/regulations. Performs duties for multiple Wells Fargo business channels with moderate to high complexity. Has a complete understanding of policies and procedures, evaluating their effectiveness and escalating opportunities for improved service and/or compliance.

Responsibilities may include:

• Initiate and manage regulatory filings and collects related information for the Registration file
• Implement remediations resulting from internal and/or external compliance examinations to ensure regulatory and/or firm compliance
• Identify potential process gaps and may provide input to the development and delivery of training
• Research and enforce regulatory obligations of registration for the Firm and its agents
• Establish and maintains effective relationships with various lines of business and regulatory authorities
• Consult with regulatory organizations and legal partners, and may act as a liaison to resolve issues
• Assume leading roles in Registration Department projects and initiatives
• Participates in and provides consulting and support for projects and initiatives with moderate to high risk
• May provide guidance to less experienced team members
• Produce periodic performance reports, including trend analysis and recommendations
• Gather information for examinations conducted by internal and external parties

• 2+ years of experience in one or a combination of the following: financial services, compliance, operational risk, audit or legal

• Intermediate Microsoft Office skills
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy
• Ability to interact with all levels of an organization
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to make independent judgment calls based on regulatory knowledge
• Ability to handle information professionally and confidentially

The salary range displayed below is based on a Full-time 40 hour a week schedule.

MO-Saint Louis: Min: $47,500 Mid: $66,000 Max: $84,500
SD-Sioux Falls: Min: $47,500 Mid: $59,400 Max: $76,000

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
SD-Sioux Falls: 3201 N 4th Ave - Sioux Falls, SD

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.

Benefits

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