Job Description

Job Description
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 want to satisfy our customers financial needs and help them succeed financially. Were looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth and Investment Management (WIM) is one of the United States leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by building enduring client relationships through sound, thoughtful, and objective advice. Developing individualized plans for clients to help meet their financial objectives. Helping clients build, manage, preserve, and transition their financial resources and wealth.

The Wealth and Investment Management (WIM) Operations Control team has a new opportunity for a Business Risk & Control Sr. Officer to lead a Control team supporting the Wells Fargo Advisors (WFA) Operations functions. This leader will be tasked with leading an effective control team and aiding WFA Operations functions in front line risk identification, measurement, assessment, monitoring and reporting of the control environment, and risk program compliance. The team will be responsible for: providing monitoring and oversight of the control environment and related risks; partnering with the business in control design activities; supporting the business during implementation activities and strategic initiatives ensuring an effective control environment; and performing end to end issue management activities, including issue capture, issue monitoring and reporting, pre-validation and sustainability activities.

Specific core competencies include:

* Support WFA Operations Group Leaders and WIM Operations Control Leader in ensuring effective front line risk identification, measurement, monitoring, controls and mitigation; counseling business leaders on risk, issues, and remediation
* Maintain deep and dynamic understanding of the key business processes core to the WFA business
* Identify and assess risks with the business
* Design new and enhance existing controls in partnership with business owners including effectiveness measures, implementation support, validation of effectiveness post-implementation and controls evaluation based on defined triggers
* Trace controls back to formal, documented business procedures owned in the business
* Provide ongoing monitoring and assessment of the operating/control environment, including business environment changes such as new business initiatives, product change, regulatory change and/or enterprise policy change
* Facilitate end to end issues management for functional areas within WFA Operations
* Develop action plans and validate sustainability
* Identify appropriate root cause and any relevant themes/trends to lead to proactive risk mitigation

Required Qualifications
* 10+ years of experience in risk management or 10+ years of financial services industry experience, of which 7+ years must include direct experience in risk management

Other Desired Qualifications
* Prefer candidate with experience leading audit engagements within brokerage and/or investment advisory
* Prefer candidate with experience with SHRP Issue Management and leading issue validations
* Bachelors degree in either accounting or finance
* Excellent verbal and written communication skills and the ability to effectively interact with all levels of management and staff
* Strong analytical and critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas
* Strong organizational skills, ability to work independently and on multiple initiatives concurrently
* Officer should have or be willing to obtain NASD Series 7 securities registration
* Advanced degree (MBA) or certification (CPA, CIA, CFP, CFA) is preferred

Street Address
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO

Disclaimer

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.

Benefits Summary
Benefits
Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.