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Posted : Thursday, May 16, 2024 02:47 AM
About this role:
Wells Fargo is seeking a Lead Counsel to join the Wealth and Investment Management Client Relationship Group in the Wealth and Investment Management Division of the Wells Fargo Legal Department.
For additional information on this line of business, refer to the external Careers Site at Wellsfargo.
com/career.
In this role, you will: Serve as a legal advisor to management of the Wells Fargo retail brokerage businesses within the Wealth and Investment Management Division (the "RB Businesses") Lead implementation of strategic business initiatives, act as a key participant in large scale planning, and drive new initiatives, Handle matters that have an impact on operations, strategies, or profitability of the RB Businesses including items related to financial crimes/anti-money laundering, elder abuse, information security/cyber security, and privacy Identify and recommend opportunities for process improvement and risk control development Participate in RB related committees, cabinets and working groups Identify and analyze complex legal issues, develop conclusions and make recommendations for issue resolution Provide substantive legal advice on matters for more experienced management Collaborate strategically with peers, colleagues and mid-level to more experienced managers to resolve issues and achieve goals Develop relationships with and provide guidance to more experienced leadership on issues that may present legal, regulatory, compliance, or reputational risk to the Company Partner with business leaders and management of other corporate departments to develop and implement risk management programs Required Qualifications, US: 5+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Active State Bar membership or the equivalent in a country outside the United States Desired Qualifications: Retail brokerage legal experience and/or experience with FINRA and the SEC, including representing financial services firms in securities regulatory activities Experience representing large, matrixed organizations providing general legal advice and support in connection with risk and regulatory issues Excellent written and oral communication and negotiating skills Demonstrated ability to adapt quickly to a changing environment while building relationships and negotiating for positive business outcomes while effectively managing legal risk Work under pressure and meet tight deadlines Demonstrated understanding of complex business activities and operations Ability to create and sustain effective, influential, and trusted relationships with business and staff group leaders Job Expectations: Position will require onsite presence from any of the required locations listed below This position is not eligible for Visa sponsorship Relocation assistance is not available for this position.
Pay Range $144,400.
00 - $300,000.
00 Benefits Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future.
Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.
401(k) Plan Paid Time Off Parental Leave Critical Caregiving Leave Discounts and Savings Health Benefits Commuter Benefits Tuition Reimbursement Scholarships for dependent children Adoption Reimbursement Posting End Date: 13 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.
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.
For additional information on this line of business, refer to the external Careers Site at Wellsfargo.
com/career.
In this role, you will: Serve as a legal advisor to management of the Wells Fargo retail brokerage businesses within the Wealth and Investment Management Division (the "RB Businesses") Lead implementation of strategic business initiatives, act as a key participant in large scale planning, and drive new initiatives, Handle matters that have an impact on operations, strategies, or profitability of the RB Businesses including items related to financial crimes/anti-money laundering, elder abuse, information security/cyber security, and privacy Identify and recommend opportunities for process improvement and risk control development Participate in RB related committees, cabinets and working groups Identify and analyze complex legal issues, develop conclusions and make recommendations for issue resolution Provide substantive legal advice on matters for more experienced management Collaborate strategically with peers, colleagues and mid-level to more experienced managers to resolve issues and achieve goals Develop relationships with and provide guidance to more experienced leadership on issues that may present legal, regulatory, compliance, or reputational risk to the Company Partner with business leaders and management of other corporate departments to develop and implement risk management programs Required Qualifications, US: 5+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Active State Bar membership or the equivalent in a country outside the United States Desired Qualifications: Retail brokerage legal experience and/or experience with FINRA and the SEC, including representing financial services firms in securities regulatory activities Experience representing large, matrixed organizations providing general legal advice and support in connection with risk and regulatory issues Excellent written and oral communication and negotiating skills Demonstrated ability to adapt quickly to a changing environment while building relationships and negotiating for positive business outcomes while effectively managing legal risk Work under pressure and meet tight deadlines Demonstrated understanding of complex business activities and operations Ability to create and sustain effective, influential, and trusted relationships with business and staff group leaders Job Expectations: Position will require onsite presence from any of the required locations listed below This position is not eligible for Visa sponsorship Relocation assistance is not available for this position.
Pay Range $144,400.
00 - $300,000.
00 Benefits Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future.
Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.
401(k) Plan Paid Time Off Parental Leave Critical Caregiving Leave Discounts and Savings Health Benefits Commuter Benefits Tuition Reimbursement Scholarships for dependent children Adoption Reimbursement Posting End Date: 13 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.
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.
• Phone : NA
• Location : Charlotte, NC
• Post ID: 9063970226
