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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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:
Required Qualifications, US:
Desired Qualifications:
Job Expectations:
Posting Locations:
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.
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