PCG Control Specialist
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.
- 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)
- 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
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- 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
- Knowledge and understanding of brokerage: account processes and compliance procedures
- Knowledge and understanding of brokerage: systems or applications
- Registration for FINRA Series 9/10 and 65 or 66 must be completed within 90 days of hire date. FINRA recognized equivalents will be accepted.
- Registration for FINRA Series 99 must be completed within 120 days of hire date. 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.
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.
0052231 WEALTH INV MGMT/WIM PSI
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