Lead Control Management Officer - Sales Practices and Conduct Management

at  Wells Fargo

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.

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:

• 5+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, educatio

Desired Qualifications:

• Proven experience with risk identification
• Proven experience with control design and control procedure development
• Experience with RCSA design and execution, and ability to source RCSA data to perform trend analysis
• Experience with the Shared Risk Platform (SHRP) and Veritas
• Experience in developing and or monitoring key risk indicators
• Ability to influence across all organizational levels, particularly senior managemen

Wells Fargo is seeking a Lead Control Management Officer within the Chief Operating Office Control Team supporting the Sales Practices and Conduct Management enterprise function.
This person will lead Risk and Control program functions including governance and execution of selected first-line risk management activities in coordination with Independent Risk Management (IRM), Business Aligned Teams, Control Executive, etc.
The selected candidate will be responsible for critical functions including Risk and Control Self-Assessment (RCSA) development and documentation, control design and control procedure development, Issues Management lifecycle activities, risk and control assessments, support regulatory validation, audit validation and other testing efforts, tollgate management, and ensuring senior leadership transparency to relevant and required information.

In this role, you will:

• Identify risks within business processes and design effective control suites to mitigate risk to acceptable levels
• Identify and ensure appropriate documentation of issues including Identifying horizontal impacts, confirming appropriateness of root cause analysis and customer impact analysis, and developing corrective action plans that are sufficiently comprehensive to address the overall root cause of the Issue
• Verify comprehensive understanding and execution of Risk Control Self Assessment (RCSA) methodology and framework
• Consult with business aligned leaders as they mitigate, monitor, and report on progress against corrective action plans for issues up through sustainability and preparation for validation
• Implement and drive Issue Tollgate process, including any follow-ups
• Perform comprehensive Risk Assessments against existing processes in support of Regulatory Validation efforts
• Analyze results of self-assurance, Testing & Validation, Issues Management, Audits and Regulatory Exams to identify control improvement opportunities
• Provide risk & control support and oversight to change management/initiatives activities
• Coordinate prep sessions and materials where necessary for Senior Leadership in line with key governance routines

Required Qualifications:

• 5+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Proven experience with risk identification
• Proven experience with control design and control procedure development
• Experience with RCSA design and execution, and ability to source RCSA data to perform trend analysis
• Experience with the Shared Risk Platform (SHRP) and Veritas
• Experience in developing and or monitoring key risk indicators
• Ability to influence across all organizational levels, particularly senior management

Job Expectations:

• Onsite presence is required 3 days a week at one of the posted locations
• Ability to travel up to 10% of the time