Wealth Management Specialist, Sr. jobs in Florissant, MO

Wealth Management Specialist, Sr. develops individualized wealth management financial plans and recommendations to help clients attain financial goals by selecting investment solutions to minimize risk and grow wealth. Uses broad knowledge of investment products to educate clients on available investment options and create planning scenarios for retirement, education savings, and other financial objectives. Being a Wealth Management Specialist, Sr. keeps abreast of economic conditions and new financial products to inform and advise clients on potential enhancements to existing financial plans and create up-sell opportunities. Monitors client portfolios to ensure appropriate risk profile. Additionally, Wealth Management Specialist, Sr. follows all regulatory and organizational policies and procedures. May be involved with selling or coordinating the purchase of additional financial products or services to clients. Requires a bachelor's degree in finance, accounting, business or equivalent. Typically has the Certified Financial Planner (CFP) designation. Typically reports to a manager. The Wealth Management Specialist, Sr. work is highly independent. May assume a team lead role for the work group. A specialist on complex technical and business matters. To be a Wealth Management Specialist, Sr. typically requires 7+ years of related experience. (Copyright 2024 Salary.com)

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Wealth and Investment Management Operations Control Management Specialist
  • Wells Fargo
  • SAINT LOUIS, MO FULL_TIME
  • Why Wells Fargo:

    This is where your true career begins. We ranked #2 on the 2023 LinkedIn Top Companies list – and #1 among financial services companies – as the best workplace “to grow your career” in the U.S.  At Wells Fargo, we support employees’ career aspirations and growth. We’re proud of our employee-welfare-centered business approach and our commitment to diversity, equity, and inclusion in the workplace.

    We offer competitive salaries and one of the richest benefits packages in the industry. Our Total Rewards program focuses on wellness, work-life balance and the financial health of our employees. Our customers invest with us, we invest in you. Apply today.

    About this role:

    The WIM Operations Control - Control Management Specialist will consult with senior leaders in developing corrective actions for new issues and will be assigned to monitor the resolution of outstanding issues to ensure compliance with regulatory requirements and the Corporate Issue Management Policy.  The Specialist will partner with business owners to ensure controls are well designed in order to address the risk and root cause of the issue.  

    The Specialist will partner with business process owner and functional partners in Risk & Control Self-Assessment (RCSA) workshops. They will also work with the business to implement control processes to mitigate and reduce risk and ensure that controls are documented to mitigate the risk and operate effectively. In addition, the Specialist will support monthly risk reporting requirements.  The Specialist will also provide issue sustainability testing support to provide assurance that the issue has been properly remediated before the issue is closed or validated by another testing function.

    Learn more about our career areas and business divisions wellsfargojobs.com.


    In this role, you will:

    • Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group, and identify opportunity for process improvements within the scope of defined business control responsibilities
    • Review and analyze basic business challenges that require research, evaluation, and selection of alternatives
    • Develop and implement risk monitoring, risk reporting processes, and controls while evaluating and reporting results where necessary
    • Present recommendations for resolving complex situations and exercise independent judgment while developing Control Management functional area expertise
    • Provide support in the interpretation of policy, guidelines, and governance programs as front line liaison to Independent Risk Management area
    • Collaborate and consult with Control Management team and key stakeholders, including internal customers


    Required Qualifications, US:

    • 2 years of Risk Management or Financial Services industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education


    Desired Qualifications:

    • Experience performing audit engagements within brokerage and/or investment advisory.
    • Experience with SHRP / Veritas Issue Management and performing issue validations.
    • Experience with controls testing experience
    • Bachelor’s degree in either accounting or finance. 
    • Excellent verbal and written communication skills and the ability to effectively interact with all levels of management and staff. 
    • Strong analytical and critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas. 
    • Strong organizational skills, ability to work independently and on multiple initiatives concurrently. 
    • Desire to have or be willing to obtain NASD Series 7 securities registration.
    • Advanced degree (MBA) or certification (CPA, CIA, CFP, CFA) is preferred.  
    • Audit or internal controls testing experience
    • Experience successfully collaborating with others in a change driven environment
    • Ability to lead during times of ambiguity and change
    • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
    • Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
    • Experience working productively in an environment where work processes frequently change
    • Ability to develop operational reporting and performing complex data analysis
    • Experience developing trending reporting and other internal reporting tools

    Job Expectations:

    • Candidates will be expected to work from one of the Core locations listed. Building locations within core markets are subject to change.
    • Hybrid work schedule.

    Posting Locations:

    • 11601 N Black Canyon Hwy., Phoenix, AZ
    • 2710 Pine St E Bldg. Saint Louis, Missouri 63103

    • 4101 Wiseman Blvd, Bldg. 203, San Antonio, TX

    • 600 S. 4th Street., Minneapolis, MN

    • 550 S Tryon Street, Charlotte, NC

    Position is required to be located in one of the posted locations. Relocation

    assistance is not provided.


     

    Posting End Date: 

    26 Feb 2024

    *Job posting may come down early due to volume of applicants.

    We Value Diversity

    At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

    Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

    Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

    Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

    Applicants with Disabilities

    To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

    Drug and Alcohol Policy

     

    Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.


  • 1 Month Ago

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Wealth & Investment Management Operations Control - Control Management Specialist
  • Wells Fargo
  • SAINT LOUIS, MO FULL_TIME
  • About this role:The WIM Operations Control - Control Management Specialist will consult with senior leaders in developing corrective actions for new issues and will be assigned to monitor the resoluti...
  • 28 Days Ago

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Administrative Assistant
  • Guardian Wealth Management, LLC
  • St. Louis, MO FULL_TIME
  • It is time to explore new challenges in your career. Guardian Wealth Management is an independent, privately-owned financial services company in Sunset Hills, MO. We are looking to add a full-time adm...
  • 3 Days Ago

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Wealth Management Client Associate
  • Bank of America
  • Chesterfield, MO FULL_TIME
  • Job Description:Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Man...
  • 14 Days Ago

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Wealth Management Client Associate
  • Bank of America
  • Clayton, MO FULL_TIME
  • Job Description:Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Man...
  • 16 Days Ago

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Wealth Management Advisor
  • Northwestern Mutual
  • Cape Girardeau, MO FULL_TIME
  • About Northwestern Mutual: Northwestern Mutual has been helping families and businesses achieve financial security for 160 years. Through a distinctive, whole-picture planning approach including both ...
  • 2 Months Ago

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0 Wealth Management Specialist, Sr. jobs found in Florissant, MO area

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Financial Advisor - St. Louis, MO - Market 08, Region 042
  • Edward Jones
  • Saint Louis, MO
  • The freedom and flexibility of an entrepreneur. Backed by our vast resources. It's the best of both worlds. While Edward...
  • 3/27/2024 12:00:00 AM

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Internal Revenue Agent (Examiner) 12 MONTH ROSTER 'AMENDED'
  • Department Of The Treasury
  • Chesterfield, MO
  • Duties WHAT IS THE SMALL BUSINESS/SELF EMPLOYED (SBSE) DIVISION? A description of the business units can be found at: ht...
  • 3/27/2024 12:00:00 AM

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AVP, Pharmacy Auditing
  • National Financial Partners Corp.
  • Chesterfield, MO
  • Who We Are NFP is a seven-time Best Places to Work award winner in Business Insurance who has also earned the 5-Star Div...
  • 3/26/2024 12:00:00 AM

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Operational Risk Manager
  • EDWARD JONES
  • Saint Louis, MO
  • At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and imple...
  • 3/25/2024 12:00:00 AM

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Internal Revenue Agent (Examiner) 12 MONTH ROSTER 'AMENDED'
  • Department Of The Treasury
  • Fairview Heights, IL
  • Duties WHAT IS THE SMALL BUSINESS/SELF EMPLOYED (SBSE) DIVISION? A description of the business units can be found at: ht...
  • 3/25/2024 12:00:00 AM

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Financial Advisor - Saint Louis, MO - Market 08, Region 070
  • Edward Jones
  • Saint Louis, MO
  • The freedom and flexibility of an entrepreneur. Backed by our vast resources. It's the best of both worlds. While Edward...
  • 3/22/2024 12:00:00 AM

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Financial Advisor - Saint Louis, MO - Market 08, Region 360
  • Edward Jones
  • Saint Louis, MO
  • The freedom and flexibility of an entrepreneur. Backed by our vast resources. It's the best of both worlds. While Edward...
  • 3/22/2024 12:00:00 AM

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Financial Advisor - Saint Louis, MO - Market 08, Region 361
  • Edward Jones
  • Saint Louis, MO
  • The freedom and flexibility of an entrepreneur. Backed by our vast resources. It's the best of both worlds. While Edward...
  • 3/19/2024 12:00:00 AM

Florissant (/ˈflɒrɪsənt/ (listen)) is a city in St. Louis County, Missouri, within Greater St. Louis. It is a middle class second-ring northern suburb of St. Louis. Based on 2017 U.S. Census Bureau estimates, the city had a total population of 51,443, making it the 13th-largest city in Missouri. According to the United States Census Bureau, the city has a total area of 12.87 square miles (33.33 km2), of which 12.56 square miles (32.53 km2) are land and 0.31 square mile (0.80 km2) is covered by water....
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Wealth Management Specialist, Sr. jobs
$108,627 to $155,657
Florissant, Missouri area prices
were up 0.7% from a year ago