Wealth and Investment Management Operations Control Management Specialist

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About this role:

The WIM Operations Control - Control Management Specialist will consult with senior leaders in developing corrective actions for new issues and will be assigned to monitor the resolution of outstanding issues to ensure compliance with regulatory requirements and the Corporate Issue Management Policy. The Specialist will partner with business owners to ensure controls are well designed in order to address the risk and root cause of the issue.

The Specialist will partner with business process owner and functional partners in Risk & Control Self-Assessment (RCSA) workshops. They will also work with the business to implement control processes to mitigate and reduce risk and ensure that controls are documented to mitigate the risk and operate effectively. In addition, the Specialist will support monthly risk reporting requirements. The Specialist will also provide issue sustainability testing support to provide assurance that the issue has been properly remediated before the issue is closed or validated by another testing function.

Learn more about our career areas and business divisions wellsfargojobs.com .

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

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:

• Experience performing audit engagements within brokerage and/or investment advisory.
• Experience with SHRP / Veritas Issue Management and performing issue validations.
• Experience with controls testing experience
• Bachelor's 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.
• Desire to have or be willing to obtain NASD Series 7 securities registration.
• Advanced degree (MBA) or certification (CPA, CIA, CFP, CFA) is preferred.
• Audit or internal controls testing experience
• Experience successfully collaborating with others in a change driven environment
• Ability to lead during times of ambiguity and change
• Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
• Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Experience working productively in an environment where work processes frequently change
• Ability to develop operational reporting and performing complex data analysis
• Experience developing trending reporting and other internal reporting tools

Job Expectations:

• Candidates will be expected to work from one of the Core locations listed. Building locations within core markets are subject to change.
• Hybrid work schedule.

Posting Locations:

• 11601 N Black Canyon Hwy., Phoenix, AZ
• 2710 Pine St E Bldg. Saint Louis, Missouri 63103
• 4101 Wiseman Blvd, Bldg. 203, San Antonio, TX
• 600 S. 4th Street., Minneapolis, MN
• 550 S Tryon Street, Charlotte, NC

Position is required to be located in one of the posted locations. Relocation

assistance is not provided.

Posting End Date:
26 Feb 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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

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

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