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This is where your true career begins. We ranked #3 on the 2022 LinkedIn Top Companies list - and #1 among financial services companies - as the best workplace "to grow your career" in the U.S. At Wells Fargo, we support employees' career aspirations and growth. We're proud of our employee-welfare-centered business approach and our commitment to diversity, equity, and inclusion in the workplace. We offer competitive salaries and one of the richest benefits packages in the industry. Our Total Rewards program focuses on wellness, work-life balance and the financial health of our employees. Our customers invest with us, we invest in you. Apply today.

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Learn more about the career areas and lines of business at wellsfargojobs.com

About this role:

Wells Fargo is seeking a Control Management Specialist to perform Issue Management activities within Control Management that supports the Wealth and Investment Management (WIM) CIDSAE (Client Relationship, Diverse Segments, Independent Solutions, Advisor Experience, (and The Private Bank) Team.

In this role, you will:

• Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group, and identify opportunity for process improvements within the scope of defined business control responsibilities

• Review and analyze basic business challenges that require research, evaluation, and selection of alternatives

• Develop and implement risk monitoring, risk reporting processes, and controls while evaluating and reporting results where necessary

• Present recommendations for resolving complex situations and exercise independent judgment while developing Control Management functional area expertise

• Provide support in the interpretation of policy, guidelines, and governance programs as front-line liaison to Independent Risk Management area

• Collaborate and consult with Control Management team and key stakeholders, including internal customers

• Facilitate supporting processes for the WFA Conflicts of Interest Committee and the FINRA 4530(b) Working Group, including planning of topics with presenters, meeting preparation, administration, tracking and recordkeeping.

• Support of the WFA Conflicts of Interest Registry and WFA Conflicts of Interest Program to facilitate annual update requirements, identify development opportunities and ensure ongoing maintenance.

• Provide engagement and partnership with business leaders and subject matter experts across functions that support WFA to ensure fulfillment of program requirements.

• Review applicable policy and regulatory requirements to ensure in scope processes are in compliance and identify opportunities for process enhancement.

Required Qualifications, US:

• 2+ years of Risk Management or Financial Services industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules.

• Brokerage operations control or risk experience.

• Knowledge and understanding of Control Programs including Risk and Control Self-Assessment (RCSA) and Issue Management.

• Experience evaluating the adequacy and effectiveness of policies, procedures, processes, systems and internal controls; additional experience analyzing business and/or systems changes to determine impact.

• Execute the Issue Management Program and document work in accordance with standards.

• Experience in risk identification, creation of mitigating actions to solve complex problems, time management skills to balance multiple projects and due dates and excellent written and oral communication skills.

• Familiar with risk types, methodologies and frameworks for evaluating or testing controls and assessing results, conducting research, and identifying control deficiencies.

• Strong analytical skills with high attention to detail and accuracy.

• Strong listening and communications skills (both written and oral) with the ability to convey complex information and ideas, including complex data sets, both simply and clearly.

• Prioritize work, meet deadlines, achieve goals, and work under deadlines in a dynamic and fast paced environment.

• Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills.

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

Available Locations:

• 145742 114 N Beaumont St., Building D St. Louis, IL

• 141753 Three Wells Fargo Center 401 S Tryon St., Floors 17-18 Charlotte, NC

• 107689 AZ-E Building (Chandler Campus) 2800 S Prince Rd, Chandler, AZ

Required location(s) listed above. **Relocation assistance is not available for this position

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$63,600.00 - $113,000.00

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits

• 401(k) Plan

• Paid time off

• Disability benefits

• Life insurance, critical illness insurance, and accident insurance

• Parental leave

• Critical caregiving leave

• Discounts and savings

• Commuter benefits

• Tuition reimbursement

• Scholarships for dependent children

• Adoption reimbursement

Posting End Date:

24 Sep 2024

* Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: 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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

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

Company: WELLS FARGO BANK

Req Number: R-400893-2

Updated: Sat Sep 21 02:22:13 UTC 2024

Location: CHARLOTTE,North Carolina