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 risks
• Implement strategic initiatives with moderate risk and complexity
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Collaborate and influence all levels of professionals including managers
• Lead team to achieve objectives
• Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
• Manage allocation of people and financial resources for Compliance
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

• 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 2+ years of Leadership experience

Desired Qualifications:

• 5+ years of handson experience managing regulatory filings, including Form U4, Form U5, Form BR, Form BD, and Form ADV, for both individuals and firms
• Deep understanding of SEC, FINRA, and state registration requirements, including disclosure obligations, amendments, and reporting timelines
• Proven ability to interpret and apply complex regulatory rules to registration and disclosure matters. 
• Strong attention to detail and accuracy, with demonstrated success meeting strict regulatory deadlines
• Ability to manage multiple concurrent filings and prioritize effectively in a highvolume environment
• Experience developing, coaching, or building a highperforming Compliance or Registration team
• Familiarity with registration systems and tools (e.g., CRD/IARD workflows, internal tracking or casemanagement tools)
• Crossfunctional collaboration experience with Legal, Risk, Operations, HR, or Business partners
• Exposure to process improvement or standardization initiatives within registration or compliance operations
• Strong written and verbal communication skills, including responding to regulators and partnering with internal stakeholders
• Ability to interact effectively with senior managers on registration status, risks, and regulatory impacts

Job Expectations: 

• Willingness to work on-site at stated location on the job opening.

Job Posting Locations:

• 114 N Beaumont St - D Bldg. St. Louis, MO  

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:

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

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. 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.

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 units risk appetite and all risk and compliance program requirements.

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.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.