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Lead Control Management Officer

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.

About this role...

Wells Fargo is seeking a Lead Control Management Officer in the Wealth and Investment Management (WIM) – Banking, Lending and Trust (BL&T) Control Team, which is responsible for the implementation and management of the First Line of Defense risk program requirements. Within BL&T Control, this position resides in the Trust Services aligned Control team and will support Trust Services for all aspects of the risk management framework.

Crucial to this role is a detailed understanding of Trust and Fiduciary subject matter, products, platforms, operational processes, functions, and a strong understanding of the inherent risks within the Trust Services business group. The role will support business leadership to design and implement first line controls with respect to a variety of regulatory requirements, Wells Fargo policies and industry practices.

In this role, you will:

  • Serve as a primary Business Control contact for the Trust Services group with proven knowledge of industry, products, services, processes, systems and customers

  • Establish and develop partnerships with business management from the line of business (LOB), products and operations to advise and influence strategic decision-making related to sustainable resolution of highly complex issues

  • Monitor moderately complex business specific programs, and provide risk management consulting to support the business in designing and implementing risk-mitigation strategies

  • 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

  • Collaborate with, guide and counsel LOB process and control owners for Control Assurance requirements, including identifying where controls reside, oversight of control documentation changes, evaluating effectiveness and functioning as liaison to control assurance teams in 1st and 2nd lines responsible for control evaluation and testing

  • Facilitate end-to-end issue management by providing risk management and business subject matter expertise and coordinate with the business to self-identify issues, develop corrective actions, document applicable controls in accordance with enterprise standards, and coordinate the issue closure process.

  • Collaborate with, guide, and counsel LOB partners on matters relating to the identification, formulation, and implementation of policies and procedures to mitigate regulatory, operational, strategic and reputation risks

  • Maintain accurate inventory of risk and controls in the appropriate system of record in accordance with internal policy and procedure.

  • Lead LOB RCSA process(s) and activities and related feeder/governance meetings

  • Establish and update regular risk reports for communication of risk ratings, issues and key topics

  • Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology and internal controls

  • Lead Control Management project or virtual teams

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:

  • Proficient understanding of Process, Risk and Control and experience with RCSA (Risk Control Self Assessments)

  • Knowledge across enterprise risk management framework, including risk identification, risk appetite and strategy, risk-related decisions, processes and controls, risk analytics and governance

  • Working knowledge of Trust and Fiduciary products and services, operations and servicing and relevant risks and controls of the business

  • Working knowledge of the Risk Management Framework (RMF) concepts and policies across risk types (regulatory, financial crimes, credit, operational, etc.)

  • Demonstrated capacity to pro-actively and independently analyze and solve problems and address risks with the business unit’s risk appetite and all risk and compliance program requirements

  • Experience with issue management standards and remediation requirement

  • Experience developing, evaluating, and validating corrective actions to ensure sustainability and adequacy in risk mitigation

  • Beyond experience, the ability to interact with integrity and a high level of professionalism with all levels of team members and management are critical to success in this role

  • Must be adaptable; highly motivated and organized; ability to multi-task, work well under pressure and deliver under tight deadlines

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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