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.About this role:Wells Fargo is seeking a Business Accountability Specialist in the Chief Operating Office Audit, providing coverage in: Operations, Regulatory and Policy Affairs, Enterprise Customer Excellence, Sales Practices Oversight and Management, and Strategic Execution and Operations. It also includes the Chief Administrative Office, encompassing the Corporate Properties Group, Corporate Security, Enterprise Business Resiliency, Strategic Programs and Process Improvement, Enterprise Change Management, Supply Chain Management, and Data Management and Insights. 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, US:
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.
Desired Qualifications:
2+ years of brokerage industry experience
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
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 listed:2710 Pine St. E Bldg. St. Louis, MO301 S Tryon St. Charlotte, NC5201 W Amelia Earhart Dr. Salt Lake City, UTRelocation assistance is not available for this position.This position is not eligible for Visa SponsorshipJob posting may come down early due to volume of applicants.Posting End Date:3 Mar 2024Job posting may come down early due to volume of applicants.We Value DiversityAt 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 DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .Drug and Alcohol PolicyWells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.Company: WELLS FARGO BANKReq Number: R-345030-1Updated: Wed Feb 28 00:00:00 UTC 2024Location: SAINT LOUIS,Missouri
