Justin Thomas

Compliance Consultant at Wells Fargo Securities

Role: Compliance Consultant at Wells Fargo
Location: Charlotte, NC, US
LinkedIn followers: 500 followers

Finance & AccountingView LinkedIn profile

Experience

Compliance Consultant
Wells Fargo
Sep 2018 — Present · Charlotte, NC, US
Review of electronic communications which have been alerted or via targeted reviews• Work with Business Unit Compliance Officers, Supervisory Principals and/or Managers to research and resolve escalated electronic communications• Assist in further developing the monitoring of electronic communications• Responsible for understanding regulatory requirements and risks regarding electronic communications, performing surveillance activities on electronic communications, developing and maintaining the ECCRT program including surveillance tools.• Experience conducting regulatory compliance surveillance on electronic communications• Knowledge of and experience regarding institutional banking and broker/dealer activities

Skills

Journalism
Television
Bsa
Aml
Ap Style
Broadcast Journalism
Broadcast
Radio
Blogging
Editing
Radio Broadcasting
Newspapers
Online Journalism
Sports Writing
Sports
Feature Articles

Contact information

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Work email
•••••@wellsfargo.com
Personal email
•••••@•••••.com
Direct dial
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Current company

Wells Fargo

Financial Services · 241K employees · San Francisco, California, United States

Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with approximately $1.9 trillion in assets. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, investment and mortgage products and services, as well as consumer and commercial finance, through more than 7,300 locations, 12,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in over 40 countries and territories to support customers who conduct business in the global economy. With approximately 250,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 41 on Fortune’s 2022 rankings of America’s largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories. Relevant military experience is considered for veterans and transitioning service men and women. 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.© 2016 Wells Fargo Bank, N.A. All rights reserved. Member FDIC.

wellsfargo.com

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