Associate Counsel - CRG Legal - WIM Branch Support and Supervision

About this role :

Wells Fargo is seeking an Associate Counsel to join the Wealth & Investment Management (WIM) section of the Wells Fargo Legal Department.

The Associate Counsel will be on the WIM Client Relationship Group and provide operational and branch support on all aspects of WIM businesses.

In this role, you will :

• Provide routine legal guidance on well-defined issues or claims against the Company, working under the direction of more senior counsel.
• Conduct research on various legal matters, in support of more senior counsel.
• Develop subject matter knowledge and risk assessment skill, and builds relationships with internal and external clients.
• Monitor legal and regulatory changes, escalating issues to more senior members of the team as needed.
• Collaborate within the department and across business and staff functions to address legal and risk issues in a manner consistent with the best interests of Wells Fargo.
• Develop specialization within law while developing broader and deeper expertise.
• Review issues, policies or procedures for which answers can be quickly obtained related to low-to-medium risk deliverables.
• Receive direction from supervisor and exercise independent judgment while developing understanding of policies, procedures, specialization, and compliance requirements.

Required Qualifications, US :

• 6+ months 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 :

• Prior experience with power of attorney documents, transfer on death accounts, non-disclosure agreement and trust and estate issues.
• Prior experience supporting broker-dealer or bank operational areas on issues such as wire transfers, money movement, account documentation and transaction processing.
• Experience with FINRA Form U5s and Rule 4530(a)(2).
• Experience providing legal support regarding elder client issues
• Practicing Attorney experience
• Ability to research law and regulations and develop advice with respect to complex legal issues using public as well as company websites and databases.
• Strong attention to detail and accuracy.
• Experience working in a fast paced highly complex environment.
• Excellent verbal, written, and interpersonal communication skills.
• Ability to effectively organize and prioritize work while handling multiple matters.

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
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.

Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.

Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Posting End Date : 12 Sep 2024

12 Sep 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.

Candidates applying to job openings posted in Canada : Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities.

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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.