Compliance Consultant 2

Job Description: Marketing Review Team - Compliance Consultant 2 Job Description: The primary focus of this position is to provide review of mutual fund marketing material and advise marketing and communications staff on various compliance issues to ensure that regulatory requirements are met. Also assists in the preparation and review of policies, procedures, training materials and other communications to ensure business unit meets and maintains compliance requirements. Consultant will coordinate regulatory filings with Financial Industry Regulatory Authority (FINRA). Participates in and provides compliance risk support for projects and initiatives with moderate risk. Minimum Qualifications: Requires a Series 7, 63 and 24 registrations with FINRA. Knowledge of regulatory requirements dealing with mutual fund marketing material. Ability to work under pressure, prioritize assignments and handle multiple tasks simultaneously. Exceptional written and verbal communication skills. High degree of professionalism. Ability to see gray as well as black and white. Detail oriented. BA Degree. Series 53 desired Preferred Skills: -- How to Express Interest in This Job: Wells Fargo invites you to apply for this job at https://employment.wellsfargo.com/psp/PSEA/APPLICANT_NW/HRMS/c/HRS_HRAM.HRS_CE.GBL?Page=HRS_CE_HM_PRE&Action=A&SiteID=1&Opening=3210423 We do not acknowledge the Online Application.WELLS FARGO IS AN AFFIRMATIVE ACTION AND EQUAL OPPORTUNITY EMPLOYER M/F/D/V. Email this job |