Compliance Consultant 2 (Equity Compliance Consultant)
This position is within Wells Fargo Asset Management (WFAM) Wells Capital Management (WellsCap). Responsibilities include, but are not limited to:
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Monitors portfolio managers adherence to client guidelines, internal parameters, and statutory requirements on a pre-trade, post-trade, and batch basis within Charles River.
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Provide initial review and interpretation of client account investment restrictions (i.e. Investment Management Agreements, Prospectuses, Statement of Additional Information, Private Placement Memorandums, etc.).
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The ability to code restrictions and tests rules within Charles River. Identify, escalate, and communicate exceptions to Investment and Compliance Teams.
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Provide support to investment and operation managers on compliance-related issues.
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Ensure a collaborative working environment between compliance and professionals throughout WellsCap (e.g. traders, portfolio managers, operations, and technology).
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Mitigate risk and streamline existing processes by utilizing technology and Charles River.
Basic Qualifications
4+ years compliance experience.
Minimum Qualifications
See basic qualifications above.
Preferred Skills
- 5+ years compliance/risk management experience with understanding of the Investment Advisers Act, Investment Company Act, and Employment Retirement Securities Act (ERISA).
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Strong analytical ability and displays sound business judgment.
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In depth knowledge of Charles River (i.e. test setups, broker rules, restrictions, data elements).
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Broad familiarity of equity investment strategies and thorough understanding of the investment instruments and markets (equity, derivatives, domestic exchanges, foreign exchanges, etc.).
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Ability to communicate effectively within the compliance team, professionals throughout WellsCap, regulators, clients and prospective clients including client facing due diligence meetings.
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Superior work ethic and great attention to detail and the ability to work under pressure with extreme time sensitivity. Ability to work independently on projects as wells as part of a team.
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Ability to cover trading activity as needed in the absence of other team members.
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International markets and regulatory knowledge (e.g. ESMA, FSA, UCITS, EMIR).
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Highly proficient in Excel.
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BA/BS degree.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer M/F/D/V. © 2013 Wells Fargo Bank, N.A. All rights reserved. Member FDIC.
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