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Control Management Senior Manager

  • Governance & Controls
  • Full time
  • R-270988

About this role:

Wells Fargo is seeking a Control Management Senior Manager... 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.

The Chief Operating Office (COO) is responsible for delivering a more consistent approach to business operations across Wells Fargo, strengthening the company’s risk and control infrastructure, and delivering effective and efficient enterprise services to employees and customers.

The COO group includes the head of Operations, who is jointly responsible for line of business operations with each of the five LOB CEOs. Operations functions include contact center operations, client servicing support, money movements within our businesses, lending operations, and other functions.

The COO group also includes a number of teams dedicated to strengthening Wells Fargo’s risk and control infrastructure. These include the Control Executive team; Regulatory and Policy Affairs; Enterprise Customer Excellence; Sales Practices Oversight and Management; and Strategic Execution and Operations.

In this role, you will:

  • Manages and develop a team of Sr Managers, Managers and/or Sr Officers, Officers, Associates, Specialists from cross-functional teams in accomplishing group strategic priorities.
  • Executes and implements business control priorities and strategy ; drive the control agenda across the business.
  • Act as an advisor to more experienced leaders in developing risk mitigation strategies for complex and highly integrated business specific risk across different business lines
  • Evaluates and provides strategic guidance for programs, policies and procedures to ensure alignment with regulatory requirements and risk strategies.
  • Identify and recommend Business Controls opportunities for process improvement and risk control development by managing and directing teams on strategy and execution of activities
  • Supports to the business for the design of business-specific risk controls/processes and development of remediation plans to address any control weaknesses or gaps and identifies opportunities for enhancements.
  • Ensures that business control issues are proactively identified and addressed appropriately, escalating where necessary.
  • Oversees programs or initiatives related to a line of business and/or an Enterprise strategy with considerable impact across the Enterprise and externally.
  • Determine appropriate strategies and actions of Business Controls functional area to meet moderate to high-risk deliverables by ensuring that all business risk issues are proactively identified and addressed appropriately
  • Key interface and fosters relationships with corporate, business heads, Corporate Risk, Legal, Audit, regulators, and industry partners regarding risk management of business-specific risk programs.
  • Manage allocation of people and financial resources to ensure commitments are met and aligned with strategic objectives in Business Controls functional area
  • Develop and guide a culture of Strong Controls Mindset , talent development to meet business objectives and strategies

Required Qualifications, International:

  • Overall 19+ years of experience in risk management or 19+ years of financial services industry experience, of which 15+ years must include direct experience in risk management, 12+ years of management experience
  • B Com, BBM, MBA, M Com with Business, Finance, Banking, Accounting or Economics as preferred major subject.
  • Understanding of Commercial Banking products and services like Commercial Capital, Middle Market Banking, Client Coverage engagements along with providing Business Control Management support for CB Transformation and Data Analytics Functions is imperative

Desired Qualifications:

  • Experience in assessing risk , reviewing risk ratings, and identifying control deficiencies.
  • Adaptable to a dynamic work environment with multiple priorities and strict timelines and able to organize for responsiveness and efficiency
  • Proven ability to work within a team environment as well as individual accountability
  • Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment . Propensity to deliver high quality output
  • Ability to synthesize data from a variety of sources and deliver results quickly.
  • Novice negotiation skills includes the willingness and ability to question decisions , understand direction and escalate issues, where necessary.
  • Experience evaluating the adequacy and effectiveness of policies, procedures, processes, systems, and internal controls ; additional experience analyzing business and/or systems changes to determine impact. 
  • Familiar with various quality assurance techniques, issue verification frameworks and role of issue oversight , Audit, or internal controls assessment experience
  • Understanding of US banking regulatory requirements . Applies product/domain knowledge to improve/add value to the processes, Line of defense Structure
  • Experience working in a matrixed environment and the ability to effectively manage and build relationships
  • Ethical integrity and demonstrated ability to identify risks and confidently raise issues , escalate early and engage in constructive challenge, doing so independently
  • Leadership and project management skills to drive alignment across stakeholder groups to develop and deliver repeatable end to end risk management solutions and controls aligned with business/customer processes

Job Expectations: Primary Responsibilities include International Governance:

  • Risk Identification Support : Perform process walk throughs to identify and raise self-identified issues and heighten Issue Management discipline in the frontline
  • Issue Management Support : Guidance regarding root cause analysis (ORE, Fraud, DLP) and assist in determining sustainable remedial action plans/controls
  • Transition Control Related Reviews : Perform reviews on transitions per Transition Framework, Controls opinion/acknowledgement, Second-line engagements etc.
  • Risk & Control Self-Assessment (RCSA) : Provide Control support for GDA Mapping for I&P Legal Entities in partnership with the RCSA program team.
  • Control Council Routine : Support the Control Council and help build stronger accountability and ownership in the control environment
  • Governance & Reporting Routines : Establish Controls governance/reporting routines to provide Risk & Controls landscape view and escalate issues as appropriate.
  • Advisory role : Provide input into enterprise policies and procedures, Key business initiatives and continue to engage in Risk & control management discussions with the LOB Functions, Business partners and Operations

During the recruiting process you may be considered for a role based on your expertise in a particular Control LOB. Additionally, each business has a specific location strategy, therefore your candidacy may be determined based on your current location. Remote work locations are not available for these roles so if you are not in a location listed on the posting, you must commit to relocation within an agreed upon timeframe.

We Value Diversity

At 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, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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.

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Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

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