Quality Control jobs in United States, Minnesota, Minneapolis

In this role, you will:

• Participate and consult regarding policies and procedures, controls, tools and training
• Identify opportunities for additional synergies and to maximize efficiencies within the private client group
• Review and analyze controls to manage high risk investment strategies and complex products
• Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
• Present recommendations for resolving complex analysis in search of current and best practices
• Gather and analyze data, identify trends and present analysis through meaningful statistics
• Develop expertise in firm, compliance and regulatory policies and procedures
• Collaborate and consult with Financial Advisors, Regional and more experienced
• Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

Required Qualifications:

• 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications:

• Conflict management and decision-making skills
• Strong organizational, multi-tasking and prioritizing skills
• Ability to negotiate, influence, and collaborate to build successful relationships
• Excellent verbal, written, and interpersonal communication skills
• Strong attention to detail and accuracy skills
• FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Job Expectations:

• US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 examinations or equivalent must be completed within either a 90 or 180-day time period, depending upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required.
• 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 CFR 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.
• This position is not eligible for Visa sponsorship.
• This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatoryquestions/disclosures,will be ineligible to work from a location other than their assigned office location

Job Posting Locations:

• 114 N. Beaumont St. Bldg D – St. Louis, Missouri
• 550 S. 4th St. – Minneapolis, Minnesota
• 401 S. Tryon St. – Charlotte, North Carolina

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

In this role, you will:

• Supervise a team of Quality Control professionals who are responsible for executing activities associated with due diligence reviews of bank customers transactions
• Oversee a moderate degree of complexity and risk to determine appropriateness of Quality Control processes to ensure timely completion and compliance
• Own the client onboarding process and engage with clients, relationship team and third parties
• Function as a subject matter expert across multiple disciplines
• Identify and recommend opportunities for process improvement and risk control development
• Ensure execution of due diligence programs, processes and control to identify, assess and mitigate risk
• Manage communication and collaboration with business heads, Legal, Audit and regulators regarding risk management of business specific risk programs
• Make decisions and resolve issues to mitigate risk via a thorough due diligence process functional area and team to meet business objectives
• Interpret and develop policies and procedures for functions with low to moderate complexity within scope of responsibility
• Manage implementation of procedures, controls, analytics and trend analysis to ensure comprehensive research and background investigations
• Utilize expertise in data collection and sourcing
• Collaborate and influence all levels of professionals including senior managers
• Lead a team to achieve objectives
• Manage allocation of people and financial resources for Due Diligence group
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

• 4+ years of Due Diligence experience, or equivalent (including risk management, client service, operations support, or business process management) demonstrated through one or a combination of the following: work experience, training, military experience, education
• 2+ years of leadership experience

DesiredQualifications:

• Experience conducting Due Diligence reviews in Wealth & Investment Management (WIM)
• Experience with Anti Money Laundering (AML) and Bank Secrecy Act (BSA) programs
• Experience with Quality Control processes
• Experience leading a team of direct reports
• Experience directing activities of team members, performance management, career development, coaching, mentoring, and succession planning
• Analytical skills with high attention to detail and accuracy
• Ability to interact with all levels of an organization
• Ability to manage confidential material in a professional manner
• Ability to articulate complex concepts in a clear manner
• Ability to prioritize tasks, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to collaborate with geographically dispersed teams
• Ability to navigate through ambiguity and maintain momentum driving for results and clarity in uncertain situations
• Advanced Microsoft Office skills
• Advanced verbal, written, and interpersonal communication skills

Job Expectations:

• Ability to work on-site at the posted work location

Location:

• 550 S 4th St, Minneapolis, MN 55415
• 1525 W WT Harris Blvd, Charlotte, NC

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

In this role, you will:

• Provide support and scoring guidance quality assurance staff by answering questions on regulations or compliance, procedures, policies and First Call Resolution
• Escalate key maintenance errors identified during scoring process and ensure resolution of same, reviewing programs, processes, documentation, to ensure compliance with internal company requirements or government regulations
• Review systems to ensure company standards are met, exceptions are notated, and issues escalated as necessary
• Assist in development and design of product specific databases
• Review and score work
• Prepare calibration score and facilitate calibrations across the team to ensure consistency of quality scores delivered to clients
• Monitor quality assurance programs and processes to identify gaps and risk assessment
• Design and conduct training for as needed
• Provide coaching to staff and track performance expectations and results
• Make final scoring decisions on disputes which impact quality results
• Interact with staff and business partners to promote team work and departmental effectiveness

Required Qualifications:

• 4+ years of Quality Assurance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Knowledge and understanding of National Flood Insurance Program (NFIP) and Flood Disaster Protection Act (FDPA) compliance and process
• Knowledge and understanding of commercial real estate loans & the ability to review and interpret complex commercial loan documents
• Knowledge and understanding of FEMA (Federal Emergency Management Agency)
• Ability to read and interpret legal documents
• Risk and regulatory compliance experience
• Ability to successfully execute quality control review activities
• Advanced Microsoft Office skills
• Strong analytical skills with high attention to detail and accuracy
• Experience managing a pipeline of work from assignment to completion
• Ability to navigate multiple computer system windows, applications, and utilize search tools to find information
• Excellent verbal, written, and interpersonal communication skills
• Experience with financial services businesses in a regulated environment

Job Expectations:

• This position currently offers a hybrid work schedule
• Ability to work additional hours as needed

Locations:

• 600 S. 4th Str., Minneapolis, MN

Other Information:

• Position location listed above.
• Relocation assistance is not available for this position.
• This position is not eligible for Visa Sponsorship

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.