Compliance Consultant 2

H.D. Vest a non-bank subsidiary of Wells Fargo has the following position available: Compliance Consultant 2. This position is responsible for implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight of compliance function. Participates in and provides compliance consulting and support for projects and initiatives with moderate risk to identify and mitigate regulatory risk in business activities. Implements compliance testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations. May assist in drafting corrective action plans and in managing change to ensure regulatory compliance. Identifies training opportunities; may provide input to the development of training materials and delivers training. Drafts report of findings and recommendations for compliance risk management. Coordinates production of periodic compliance performance reports for senior management, including trend analysis and recommendations. Assists in the coordination of site, agency or other examinations conducted by external parties.
Minimum Qualifications


* Minimum Qualifications:Bachelor's degree or equivalent and a minimum of 4 years compliance experience. NASD Series 7, 63, 24, and 65 required.
* Preferred Skills:NASD Series 4 and 53 preferred.