Lead Control Management Officer

at  Wells Fargo

WHY WELLS FARGO:

This is where your true career begins. We ranked #3 on the 2022 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.
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.
Learn more about the career areas and lines of business at wellsfargojobs.com

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, US:

• 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 history of establishing end to end risk management solutions and controls aligned with business/customer processes
• Knowledge and understanding of Brokerage industry: control, compliance, risk management, or audit
• Experience working in or closely with Wealth and Investment Management lines of business (or external equivalents) sufficient to demonstrate a working knowledge of their products/services, key processes/systems, and organizational structure
• Strong technical knowledge of risk management frameworks and principles, internal control design objectives, audit/testing/quality assurance methodologies
• Ability to identify root cause of identified issues and evaluate potential mitigation plans
• Strong project management and execution skills, including the ability to manage multiple engagements simultaneously while delivering all commitments on time and with high quality
• Experience leading audit engagements within brokerage and/or investment advisory
• Experience with SHRP Issue Management and leading issue validations
• Excellent verbal and written communication skills and the ability to effectively interact with all levels of management and staff
• Strong organizational, multi-tasking, and prioritizing skills
• 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 prioritizing skills with the ability to work independently and on multiple initiatives concurrentl

Wells Fargo is seeking a Lead Control Management Officer to join our Wealth and Investment Management (WIM) Control Team. This role will support Wells Fargo Advisors (WFA) control functions and is considered a team lead. You will collaborate with business partners to monitor and assess the operating and control environment on an ongoing basis. A strong desire to learn, high attention to detail, an understanding of key Wells Fargo Advisors (WFA) risks, and excellent communication skills are key to the success of this role. Learn more about our career areas and lines of business at wellsfargojobs.com .

In this role, you will:

• Lead complex initiatives designed to mitigate current and emerging risks with broad impact
• Act as key participant in monitoring, evaluating, and measuring the impact of decisions practiced in Control Management functional area
• Monitor moderately complex business specific programs, and provide risk management consulting to support the business in designing and implementing risk-mitigation strategies
• Act as Business Control Manager Assignee on RCSA activities related to the Private Bank and Partnerships team
• Provide committee support for the WFA Conflicts of Interest Committee
• Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations, and provide guidance in developing and implementing risk-mitigating strategies
• Lead Control Management project or virtual teams
• Support Wells Fargo Advisors (WFA) Leaders in ensuring effective front line risk identification, measurement, monitoring, controls, and mitigation; counseling business leaders on risk, issues, and remediation.
• Maintain deep and dynamic understanding of the key business processes core to the WFA business.
• Identify and assess risks with the business.
• Design new and enhance existing controls in partnership with business owners including effectiveness measures, implementation support, validation of effectiveness post-implementation, and controls evaluation based on defined triggers.
• Trace controls back to formal, documented business procedures owned in the business.
• Provide ongoing monitoring and assessment of the operating/control environment, including business environment changes such as new business initiatives, product change, regulatory change, and/or enterprise policy change.
• Facilitate end to end issues management for functional areas within the Private Bank & Partnerships team

Required Qualifications, US:

• 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 history of establishing end to end risk management solutions and controls aligned with business/customer processes
• Knowledge and understanding of Brokerage industry: control, compliance, risk management, or audit
• Experience working in or closely with Wealth and Investment Management lines of business (or external equivalents) sufficient to demonstrate a working knowledge of their products/services, key processes/systems, and organizational structure
• Strong technical knowledge of risk management frameworks and principles, internal control design objectives, audit/testing/quality assurance methodologies
• Ability to identify root cause of identified issues and evaluate potential mitigation plans
• Strong project management and execution skills, including the ability to manage multiple engagements simultaneously while delivering all commitments on time and with high quality
• Experience leading audit engagements within brokerage and/or investment advisory
• Experience with SHRP Issue Management and leading issue validations
• Excellent verbal and written communication skills and the ability to effectively interact with all levels of management and staff
• Strong organizational, multi-tasking, and prioritizing skills
• 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 prioritizing skills with the ability to work independently and on multiple initiatives concurrently

Job Expectations:

• Position offers a hybrid work schedule in which you are required to work in office 3 days per week at a minimum in one of the locations listed below
• Relocation assistance is not available for this position
• Visa sponsorship is not available for this position