Business Accountability Specialist

at  Wells Fargo

WHY WELLS FARGO:

This is where your true career begins. We ranked #2 on the 2023 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.

APPLICANTS WITH DISABILITIES

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

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

Required Qualifications:

• 2+ 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
• Successfully complete Financial Industry Regulatory Authority (FINRA) SIE and Series 7 examinations sufficient to qualify for immediate FINRA registration
• 2 years brokerage industry experienc

Desired Qualifications:

• 2 + years’ experience with brokerage complaints processes.
• 2 years’ experience in Quality Assurance, Operational Risk, or compliance roles
• Strong analytical skills with ability to draw conclusions and translate findings
• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
• Ability to motivate and provide performance feedback to staff
• Experience developing partnerships and collaborating with other business and functional areas
• Excellent verbal, written, and interpersonal communication skill

Wells Fargo is seeking a Business Accountability Specialist for the Centralized Operational Risk Review and Quality Assurance Team, within Enterprise Complaints and Remediations (ECR). The position is responsible for standards and controls in the business, ensuring effective design, assessment, monitoring, and execution through establishment of protocols, assessment, risk mitigation, oversight, reporting, and self-assurance activities. Learn more about our career areas and business divisions at wellsfargojobs.com .

In this role, you will:

• Participate in research, assessment, and documentation of matters relating to the business’ policy and regulatory adherence, risk mitigation, or control efforts; identify patterns and trends and looks for opportunities for procedural or control improvements within area of focus
• Conduct assessments and analysis of basic business or operational outcomes, systems of record, technical assignments, documentation, procedures, or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment to guide completion of medium risk deliverables
• Present concise and well-articulated findings and recommendations, including rationale, to facilitate resolution of identified matters; exercise independent judgment while developing expertise in the risk mitigation or control activities of the business
• Engage in additional research and studies to enhance regulatory knowledge
• Collaborate and consult with colleagues, internal partners, and other business stakeholders to provide feedback, credibly challenge issues, and calibrate, as needed, to ensure alignment, consistency, and accuracy across groups
• Participate in cross-organizational or internal operational initiatives and improvement efforts

Required Qualifications:

• 2+ 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
• Successfully complete Financial Industry Regulatory Authority (FINRA) SIE and Series 7 examinations sufficient to qualify for immediate FINRA registration
• 2 years brokerage industry experience

Desired Qualifications:

• 2 + years’ experience with brokerage complaints processes.
• 2 years’ experience in Quality Assurance, Operational Risk, or compliance roles
• Strong analytical skills with ability to draw conclusions and translate findings
• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
• Ability to motivate and provide performance feedback to staff
• Experience developing partnerships and collaborating with other business and functional areas
• Excellent verbal, written, and interpersonal communication skills

Job Expectations:

• This position offers a hybrid work schedule.
• 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
• 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.

Required Locations:
2710 Pine St E Bldg. Saint Louis, MO
5201 W Amelia Earhart Dr Salt Lake City, UT
1525 West W T Harris Blvd Charlotte, NC
Relocation assistance is not available for this position.
This position is not eligible for Visa Sponsorship
Job posting may come down early due to volume of applicants.