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Charlotte, North Carolina Wells Fargo
Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application.

At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

Conduct Risk is responsible for establishing a set of policies and risk management requirements to enable Wells Fargo to effectively manage current and emerging conduct risks in a manner consistent with the company's values, ethical principles, and supervisory guidance and expectations; performing independent oversight and credible challenge to the front line's adherence to those requirements; and providing independent oversight to the management of misconduct allegations, and customer complaints.

The Compliance Officer - WIM Conduct Risk Oversight position provides oversight for Wells Fargo's Wealth Investment Management (WIM) team, including all underlying lines of business, and is responsible for monitoring and oversight to identify, assess and mitigate conduct risks. The Compliance Officer is responsible for providing appropriate guidance, oversight and challenge as a conduct risk expert.

Specific Responsibilities:

  • Provides oversight of WIM with respect to execution effectiveness of conduct policies, monitoring and self-assurance activities, including escalation of risks and issues.
  • Provides challenge, independent assessment, and advice with respect to WIM controls, as well as actions to address gaps in control design and effectiveness
  • Develops and implements oversight processes for ongoing monitoring of WIM for conduct risks. Identifies areas for enhancements and efficiencies.
  • Provides consultation and guidance to WIM to support self-identification, assessment, escalation or monitoring of risks and issues.
  • Monitors enterprise and business group reporting for trends and points of escalation related to conduct risk for WIM processes (i.e. insider threat, internal fraud, sales practices, allegations, customer harm, etc.)
  • Builds and develops strong engagement with key stakeholders including WIM front line Business and Control Executives and Internal Audit teams to provide regular updates on status of conduct risk oversight and initiatives.
  • Conducts and assists with ad hoc projects of key processes/programs as part of oversight responsibilities.


Required Qualifications

  • 7+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management


Desired Qualifications

  • Strong risk management and compliance skills
  • Operational risk, conduct risk or compliance domain experience
  • Ability to influence across all organizational levels, particularly senior management
  • Ability to implement a solution and communicate, in clear business terms, the benefits of the proposed risk management approach
  • Ability to exercise independent judgment to identify and resolve problems
  • Ability to quickly establish credibility to build and maintain effective working relationships
  • Ability to interact with all levels of an organization
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members
  • Advanced Microsoft Office skills
  • Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules


Other Desired Qualifications
  • Knowledge and understanding of four risk areas within: Ethics, Internal Fraud, Internal Threats, and Sales Practice
  • A BS/BA degree or higher
  • Certified Risk Compliance Manager (CRCM )
  • Certified Fraud Examiner (CFE)
  • Certificate in Operational Risk Management (ABA)
  • Certificate In Risk Management (CRMA)
  • Certified Risk And Compliance Management Professional (CRCMP)
  • Certified Compliance & Ethics Professional (CCEP)
  • Certified Risk Professional Program (CRP)


Job Expectations

  • Ability to travel up to 10% of the time


Street Address

IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
NC-Charlotte: 301 S College St - Charlotte, NC
NC-Charlotte: 128 South Tryon Street - Charlotte, NC
NC-Charlotte: 401 S Tryon St - Charlotte, NC
NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX
TX-Irving: 250 E John Carpenter Freeway - Irving, TX
TX-Plano: 4975 Preston Park Blvd - Plano, TX
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
MN-Minneapolis: 2650 Wells Fargo Way - Minneapolis, MN
MN-Saint Louis Park: 435 Ford Rd - Saint Louis Park, MN
NY-New York: 150 E 42nd St - New York, NY
NJ-Summit: 190 River Rd - Summit, NJ
AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ
AZ-PHX-Northwest Phoenix: 2222 W Rose Garden Ln - Phoenix, AZ
AZ-Chandler: 2700 S Price Rd - Chandler, AZ
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO



Disclaimer


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.