International Compliance Consultant

RESPONSIBILITIES: The CMG Compliance Consultant will act as a key member of the International Compliance Unit and aid in analyzing and developing policies, procedures, and controls associated with Wachovia Securities' international business initiatives. The primary focus of this individual will be providing advice and compliance guidance to financial advisors conducting business with non-US clientele in the Latin American, Private Client, Investment Services, and ISG and Financial Network Divisions of Wachovia Securities. Additionally, this Associate will provide guidance to Home Office Associates relating to new international initiatives of the firm. Further activities will include providing compliance support for the Allowable Country List as well as reviewing and advising on Non-Allowable Country requests, Confidential Account requests, and Foreign Finder review policies. This Associate will be responsible for testing and identifying areas in which current processes may be improved upon and developing and implementing new policies and/or procedures to aid in mitigating risks associated with Firm operations outside of the United States. REQUIREMENTS: To be qualified for the CMG Compliance Consultant position, the applicant must be well-rounded and meet the following requirements: Minimum of 5 to 10 years of securities-related experience; Extensive experience dealing with compliance, risk, and audit issues; Advanced knowledge of securities regulations with particular focus on the offshore/international marketplace, including superior knowledge of the USA PATRIOT ACT and other OFAC & AML related regulations; Ability to communicate effectively with senior management and all level of associates; Ability to function as a team player but act and make decisions independently and with minimal supervision; Ability to simultaneously handle multiple tasks with changing priorities; Ability to speak/write in either Spanish or Portuguese highly preferred. Preferred applicant must also have experience working with international issues and/or financial advisors specializing in international clientele. Series 7 or ability to obtain within 6 months of hire preferred. Mon - Fri, 8:00am - 5:00pm Wachovia is proud to be recognized by a number of publications and organizations for its ongoing commitment to a best in class and diverse workforce.• Working Mother magazine has named Wachovia one of the 100 Best Companies for working mothers• DiversityInc has named Wachovia one of the Top 50 Companies for Diversity for the sixth consecutive year.• LATINA Style magazine has recognized Wachovia as one of the top 50 companies for professional Hispanic women in the United States• Essence has named Wachovia to its list of the 25 Great Places for Black Women to Work.• The Black Collegian's Top 100 Employers Survey included Wachovia among its major employers in industry, government, and business examined for hiring trends. • For the sixth year in a row, Training magazine has named Wachovia one of the best companies in North America for employee training and development. Company: Wachovia Securities LLC Location: St. Louis Job Status/Type: Full Time Job Category: Accounting/Finance/Insurance Occupations: Risk Management/Compliance Industry: Banking;Financial Services Career Level: Experienced (Non-Manager) Company: Wachovia Securities LLC Reference Code: 250890