Compliance Associate Manager
Wells Fargo · St. Louis, Missouri, US
Wells Fargo is seeking a Compliance Associate Manager within our Registration Department located in St. Louis, MO responsible for managing a team of Complian...
Job description
About this role: Wells Fargo is seeking a Compliance Associate Manager within our Registration Department located in St. Louis, MO responsible for managing a team of Compliance Specialists specializing in various regulatory filings including Form U4, Form U5, Form BR, BD and ADV filings. In this role, you will: - Manage a team responsible for establishing, implementing and maintaining risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements - Oversee the Front Line's execution and challenges appropriately on compliance related decisions - Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program - Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements - Provide compliance risk and regulatory expertise for compliance program elements - Recommend opportunities for process improvement and risk control development - Manage coordination and communication with leadership regarding compliance risk...