Wells Fargo Counsel 4 - WIM, Investment Products in Saint Louis, Missouri
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 are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Legal - Our vision is to advance the company's strategy, support its transformation, and effectively manage risk through a team known for collaboration, sound judgment, and proactive advice.
We support our vision with four strategic pillars: Integrated Business Advice, Risk Management, Talent & Leadership Development, and Operational Excellence.
This position will provide senior level legal support to the business units within Wells Fargo Advisers, a dually registered broker dealer and registered investment adviser, responsible for the selection and offering of packaged investment products to Wells Fargo clients. These products include mutual funds, ETFs, UITs, alternative investment funds, and insurance and annuities products. This attorney will play a key role in reviewing and assessing the legal and strategic framework within which these products are offered to clients. The attorney selected for this position should have deep knowledge of the regulatory landscape against which these products by a dually registered broker-dealer and registered investment adviser. While this position is not a management position, this attorney will also coordinate with other attorneys on the team on the day-to-day legal support for the distribution and offering products. This position reports into the Managing Counsel for the WIM Investments Center of Excellence.
8+ years of experience as a practicing attorney; or 6+ years of experience as a practicing attorney and 2+ years of legal-related experience in one or a combination of the following areas: risk, compliance, contracts, government, regulatory, financial services, or technology
Active State Bar membership
Ability to analyze legal and regulatory issues in area of practice and provide effective advice to clients on complex legal matters
Extensive experience conducting research and providing counsel and guidance regarding complex legal issues
Strong attention to detail and accuracy skills
Excellent verbal, written, and interpersonal communication skills
Ability to effectively organize and prioritize work while handling multiple matters
Ability to work effectively in a complex environment with a high degree of collaboration
Effective in building partnerships, functioning well with project teams, and working for the success of the team
Other Desired Qualifications
Substantial experience with the application of federal and state securities laws, including the Investment Company Act of 1940, Regulation D, the Investment Advisers Act, the Securities Act of 1933, the Commodity Exchange Act, and FINRA Rules and the Investment Company Act of 1940.
Ability to analyze legal issues in investment advisor, asset management and fiduciary businesses and provide effective advice to clients on complex legal matters.
Deep knowledge of the current regulatory background, specifically SEC and FINRA related enforcement actions related to product offerings.
Experience driving major new regulatory initiatives across a line of business
Organizational courage and willingness to make tough, informed decisions and thoughtfully share independent perspectives.
Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions..
Effective communicator, both orally and in writing, able to ask well-crafted questions and present ideas in a clear and compelling manner, good listener who engenders creative thinking and teamwork.
An ability to develop and articulate sound proposals to key stakeholders, and an ability to influence and drive timely decision making.
Desire to cultivate relationships and collaborate with multiple stakeholders and constituencies, including business leaders, legal, audit and multiple U.S. regulators.
Ethical integrity and proven ability to serve as a role model by reinforcing and demonstrating to broader team members the core values and behavioral expectations contained in Wells Fargo's Vision, Values & Goals.
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.
Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.
Company: Wells Fargo
Req Number: 5570612-6
Updated: 2021-04-13 03:35:45.879 UTC
Location: Saint Louis,MO