Job Description

Job Description
Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as Personal Cell or Cellular in the contact information of your application.

At Wells Fargo, we want to satisfy our customers financial needs and help them succeed financially. Were looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

The Enterprise Customer Excellence Group (ECEG) brings together customer-focused functions from across the enterprise to provide a holistic approach to critical points of interaction with Wells Fargo customers. The group, which includes the Enterprise Complaints Management Office, the Customer Remediation Center of Excellence, and Net Promoter System, is responsible for understanding the causes of issues that affect customers, and providing solutions that ensure customers needs are understood and supported. The group is also accountable for ensuring regulators expectations are met and that employees have the tools and training necessary for success.

The EO WIM/CIB Sales Practice Consultant is responsible for reviewing, analyzing, and addressing complex escalated complaints from multiple sources across Corporate & Investment Banking and Wealth & Investment Management. Key activities and responsibilities include:

* Addressing complaints from a variety of clients including high net worth, ultra-high net worth, and large institutional clients
* Maintaining and developing strong relationships with CIB Relationship Managers, Associated Persons (AP), Compliance, Legal, and other business partners
* Contacting all appropriate parties, gathering all relevant facts
* Negotiating resolutions with customers, agencies, or opposing counsel with minimal supervision
* Maintaining detailed and thorough documentation and files surrounding the investigation of customer complaints
* Inputting complaint/disclosure information in firm system of record to comply with regulatory and corporate obligations
* Maintaining working knowledge of current FINRA, MSRB, CFTC, NFA, and state regulatory issues as well as the firm's written supervisory procedures
* Working with assigned business units and other investigative groups within the firm
* Assessing risk and identifying root causes to facilitate corrective action and preventative measures
* Ensuring compliance with federal, state, legal, regulatory, and enterprise policy requirements

Please note this role requires a FINRA Series 7 to qualify for immediate registration or ability to obtain within a 90 time period if not immediately available to transfer upon hire. Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.

Required Qualifications
* 10+ years of experience in one or more of the following environments: customer or investor-facing, disputes, claims, fraud resolution, brokerage operations, client account supervision, risk, or compliance

Desired Qualifications
* A BS/BA degree or higher in business administration, economics, accounting, finance, or other business related field
* Masters of Business Administration (MBA) or Juris Doctor (JD)
* FINRA registration including Series 63 or 66 (or FINRA recognized equivalents)
* FINRA registration including Series 65 (or FINRA recognized equivalents)
* Knowledge and understanding of securities industry
* Knowledge and understanding of regulatory compliance requirements surrounding SEC, FINRA, and international regulations for building technological solutions
* Fixed Income experience
* Foreign exchange experience
* Securities markets or trading experience
* Knowledge and understanding of financial services or investment banking operations
* Knowledge and understanding of financial products: exposure to fixed income securities, derivatives, and foreign exchange
* Experience managing complaints and objections effectively and professionally
* Customer service focus with the ability to analyze, research, and respond to moderately complex customer or agency issues and complaints
* FINRA registration including Series 7 (or FINRA recognized equivalents)
* Successfully completed Securities Industry Essentials (SIE) exam
* Ability to manage to production goals, deadlines, and various metrics
* Excellent verbal, written, and interpersonal communication skills
* Experience delivering results in a fast-paced, deadline driven environment
* Ability to interact with all levels of an organization
* Strong analytical skills with high attention to detail and accuracy
* Strong organizational, multi-tasking, and prioritizing skills
* Ability to develop partnerships and collaborate with other business and functional areas
* Ability to negotiate, influence, and collaborate to build successful relationships
* Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important

Job Expectations
* Successfully completed FINRA SIE and Series 7 to qualify for immediate registration or ability to obtain within a 90 time period if not immediately available to transfer upon hire
* Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.

Street Address
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC

Disclaimer

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.