In this role, you will:
- Lead complex initiatives designed to mitigate current and emerging risks with broad impact
- Act as key participant in monitoring, evaluating, and measuring the impact of decisions practiced in Control Management functional area
- Monitor moderately complex business specific programs, and provide risk management consulting to support the business in designing and implementing risk-mitigation strategies
- Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area
- Develop and implement risk monitoring and risk reporting processes and controls
- Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations, and provide guidance in developing and implementing risk-mitigating strategies
- Lead Control Management project or virtual teams
- Support Wells Fargo Advisors (WFA) Leaders 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 CRG National Sales and Independent Solutions.
- Develop action plans and validate sustainability.
- Identify appropriate root cause and any relevant themes/trends to lead to proactive risk mitigation.
Required Qualifications, US:
- 5+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
- Proven history of establishing end to end risk management solutions and controls aligned with business/customer processes
- Knowledge and understanding of Brokerage industry: control, compliance, risk management, or audit
- Experience working in or closely with Wealth and Investment Management lines of business (or external equivalents) sufficient to demonstrate a working knowledge of their products/services, key processes/systems, and organizational structure
- Strong technical knowledge of risk management frameworks and principles, internal control design objectives,audit/testing/qualityassurance methodologies
- Ability to identify root cause of identified issues and evaluate potential mitigation plans
- Strong project management and execution skills, including the ability to manage multiple engagements simultaneously while delivering all commitments on time and with high quality
- Experience leading audit engagements within brokerage and/or investment advisory
- Experience with SHRP Issue Management and leading issue validations
- Excellent verbal and written communication skills and the ability to effectively interact with all levels of management and staff
- Strong organizational, multi-tasking, and prioritizing skills
- 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 prioritizing skills with the ability to work independently and on multiple initiatives concurrently
Job Expectations:
- Position offers a hybrid work schedule in which you are required to work in office 3 days per week at a minimum in one of the locations listed below
- Relocation assistance is not available for this position
- Visa sponsorship is not available for this position
Required location(s) listed below.
- 141753 Three Wells Fargo Center 401 S Tryon St., Floors 17-18 Charlotte, NC
- 144039 550 S Tryon, floors 30, 39, and 41 Charlotte, NC
- 145223 St. Louis,
107689 2850 S Price Rd., E Building, Chandler Campus, 1st floor Phoenix, AZ
18 Aug 2024
Wells Fargo Recruitment and Hiring Requirements:
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.