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Lead Control Management Officer

  • Governance & Controls
  • Full time
  • R-200723
  • About this role:

    Wells Fargo is seeking a Lead Control Management Officer...

    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:

  • Lead complex initiatives designed to mitigate current and emerging risks with broad impact specific to programs and processes implanted in response to the consent orders and regulatory matters requiring attention
  • 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
  • Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area
  • Develop and implement risk monitoring and risk reporting processes and controls
  • 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
  • Ensures that business control issues are proactively identified and addressed appropriately, escalating where necessary.
  • Support a strong risk management culture through the implementation of key risk management programs into the standard operating framework of the business
  • Lead Control Management project or virtual teams

  • Required Qualifications:

  • Overall 13+ years of experience in risk management or 13+ years of financial services industry experience, of which 8+ years must include direct experience in risk and control management, Program management, leadership experience of 5+ years
  • B Com, BBM, MBA, M Com with Business, Finance, Banking, Accounting or Economics as preferred major subject
  • Desired Qualifications:

  • Good understanding of Risk and Control programs especially RCSA policy, Internal Control policy and Risk Management
  • Knowledge and understanding of operational risk management in the financial services industry
  • Proven 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 group’s processes
  • Ability to evaluate changes to laws, processes, etc. to assess impacts and to develop implementation plan to close gaps
  • Comprehensive understanding of operational risk management and or operations process management
  • Understanding of US banking regulatory requirements. Applies product/domain knowledge to improve/add value to the processes, Line of defense Structure
  • Familiar with various quality assurance techniques, issue verification frameworks and role of issue oversight, Audit, or internal controls assessment experience
  • Knowledge and understanding of financial services: regulations, compliance, policies, process, and procedures
  • Ability to consult, build, and maintain solid working relationships in and outside of immediate department
  • 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
  • Ability to manage initiatives involving process improvements
  • Ability to influence, partner, and negotiate with senior business leaders to gain commitment to accomplish business goals
  • Ability to prepare management level presentations

  • Job Expectations:

  • Participate in mitigating current and emerging risk exposures associated with the activities and operations of the aligned business group; identify opportunities for process improvements within the scope of defined business control responsibilities
  • Provide risk management consulting to support the business in designing and implementing risk mitigation strategies, business processes and business controls
  • Exercise judgement within defined parameters while developing understanding of function, policies, procedures, and compliance requirements
  • Provide guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess and mitigate risk exposure
  • Present recommendations for resolving moderate to complex situations and exercise independent judgement while developing Control Management functional area expertise
  • Develop and implement risk monitoring and risk reporting processes that align with company-wide risk programs. Monitor and report on its risk concentration, current and emerging risk, and risk appetite. Aggregate the results of its monitoring efforts (as part of its self-assurance activities reporting routines), evaluate findings, report on results, and escalate where necessary.
  • Understand and provide thematic and cross-functional analysis on risk and control subjects
  • Collaborate and consult with Control Management team and key stakeholders, including internal customers
  • Providing transparency to business executives into all relevant risk-related information associated with each process
  • Provide assurance of the effectiveness and sustainability of the risk management activities and controls for each process. 
  • Conduct thorough reviews of complex data sets for quality and completeness
  • Accurate and timely capture and input of data into various systems and applications
  • Responsible for completing all assigned tasks accurately and within the defined processing time frame
  • 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. @RWF22

    Working Hours:

  • 4-6 hours overlap with US Team

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, 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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