Senior Business Accountability Specialist

3 weeks ago

St Louis, United States WELLS FARGO BANK Full time
About this role:

Wells Fargo is seeking a Senior Business Accountability Specialist as part of the Best Practices Team in Trading for Wealth and Investment Management (WIM). Learn more about the career areas and lines of business at wellsfargojobs.com .

In this role, you will:
  • Lead or participate in moderately complex initiatives and deliverables within business and contribute to large-scale, cross-functional planning related to mitigation of current and emerging business risk issues and concerns
  • Assess, analyze, and design moderately complex controls, protocols, and approaches with respect to risk mitigation and the control environment, including ensuring effective planning for sustainability, ongoing control adherence, reporting, measurement, technology impacts, and monitoring
  • Independently make decisions and resolve moderately complex issues while leveraging solid understanding of the business's functional area or products, operations, and regulatory environment; facilitate decision-making and issue resolution, and support implementation of developed solutions and plans; lead peers and key business partners to meet deliverables and drive new initiatives
  • Collaborate with and support functional business partners, leaders, and executive management to provide support and drive strategic initiatives for the business
  • Partner with peers and the business in interactions with external parties to support appropriateness and timeliness of response, and effectiveness of communications and materials
  • Develop and guide talent development to meet business objectives and strategy
Required Qualifications:
  • 4+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • FINRA Series 7 (or FINRA recognized equivalent) for immediate registration
  • FINRA Series 66 (or FINRA recognized equivalent) for immediate registratio
Desired Qualifications:
  • Understanding of brokerage Trading products and services
  • Demonstrated ability to evaluate risks and to communicate relevant risk in a simple, decisive, timely and market-appropriate manner
  • Demonstrated ability to build effective relationships with internal partners, such as Compliance and Legal, to meet business objectives within deadlines
  • Ability to collaborate and execute in a fast paced, high demand environment while balancing multiple initiatives, priorities, and projects
  • Ability to think with a risk control mindset and exercise independent judgement to identify and solve problems
  • Advanced organizational skills with high attention to detail and accuracy
  • FINRA Series 24
  • Working knowledge of SHRP and Veritas
  • Experience communicating and presenting complex information to multiple levels of the organization, including written communications
Job Expectations:
  • This position is not eligible for Visa sponsorship
  • This position offers a hybrid work schedule
  • Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies. The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards. A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary
  • US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. 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
  • Designated insurance exams must be completed within a 90 or 180-day time period contingent 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
  • 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.
Work Locations:
  • 2801 Market Street - St. Louis, MO 63103
  • 550 South Tryon Street - Charlotte, NC 28202
Posting End Date:
29 Aug 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 .

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.

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