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Wells Fargo is seeking a Control Management Specialist within Wealth and Investment (WIM) Control. The Control Management Specialist is responsible for partnering with the business groups to identify, assess, manage and mitigate current and emerging risk exposures associated with their activities and operations. In this role, you will:
The WIM CAO, Marketing & Advisor and Client Experience Business Control team is responsible for partnering with the relevant business group to identify, assess, manage and mitigate current and emerging risk exposures associated with their activities and operations. The candidate must have the ability to support efforts that ensure issue management policies and procedures are followed and communicated across the organization. The candidate must be able to operate in a complex, heavily matrixed corporate environment with an emphasis on driving a strong issue management culture. The role requires a sense of urgency and personal accountability. You will support the issue management program by providing support and direction related to pre-vetting/tollgate meetings, communication, control documentation, business requirements, issue management engagement model, implementation plans and quality assurance processes.
Required Qualifications, US:
- Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group and enterprise function.
- Consult and provide guidance to business groups on the development, implementation, and monitoring of complex business-specific programs to identify, assess, and mitigate risk.
- Consult and support interpretation of policy, guidelines, and governance programs as the front-line liaison to Independent Risk Management leaders for moderate to high risk and complexity enterprise risk programs.
- Provide a high level of risk management acumen to support the business in designing and implementing risk mitigation strategies, business processes and controls that mitigate risks and address regulatory requirements.
- Develop and implement risk monitoring and risk reporting processes and controls.
- Monitor and report on its risk concentration, current and emerging risk, and risk appetite
- Aggregate, evaluate, report on results and escalates where necessary.
- Design and execute control effectiveness assurance program for front-line-owned controls.
- Lead implementation of initiatives with moderate to high risk.
- Collaborate internally with business regarding risk management of business-specific risk programs. May interface with audit, legal, external agencies, and regulatory bodies regarding risk management of business-specific risk programs.
- May lead project/virtual teams and may mentor but does not manage other team members.
- 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
- Consulting experience on control design, develop controls and monitor control effectiveness and maintain strong documentation and ensuring remediation is completed in a timely manner
- Experience with RCSA
- Experience with Wealth and Investment Management
- Ability to manage client relationships
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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, or status as a protected veteran.
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.
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