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Financial Accountant - Retail Brokerage

About this role:

Wells Fargo is seeking a Financial Accountant to support the Retail Brokerage Controller team within the Broker Dealer and Traded Products group.  This role will have accounting support responsibilities for the retail Broker-Dealers, Wells Fargo Advisors and Wells Fargo Advisors Financial Network (FiNET), as well as other various consolidated subsidiaries of the Company.


In this role, you will:

  • Assist with the management of various ledger entries to provide accounting oversight to business, operations, and finance personnel across supported lines of business.
  • Assist with the financial review of technical accounting matters on new product initiatives of multiple businesses.
  • Assist with the performance of data analytics to ensure complete and accurate financial reporting.
  • Ensure that financial accounting procedures and controls are in place and operating effectively, including process narratives, flowcharts, and support for key control testing, and that the overall system of internal controls provides reasonable assurance as to the integrity and reliability of financial data. 
  • Gain and utilized a knowledge and understanding of the group’s products and services and the underlying processes and systems to support partner functions (operations, technology, compliance, risk management, legal, etc.). 
  • Assist with quarterly/monthly regulatory reporting.


Required Qualifications, US:

  • 2+ years of Finance, Accounting, Analytics, Financial Reporting, Accounting Reporting or Risk Reporting experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education


Desired Qualifications:

  • An active Certified Public Accountant (CPA) designation or relevant FINRA licensure (Series 27 or 99)
  • Ability to manage effectively in a matrixed organization
  • Experience researching, documenting, and communicating SEC/GAAP/REG issues
  • Retail brokerage product knowledge inclusive of mutual funds and/or annuities. 
  • Strong analytical skills with high attention to detail and accuracy
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Big four public accounting experience
  • Ability to organize, and manage projects beginning to end that require coordinated efforts across multiple functions (e.g., operations, finance, relationship management, corporate, etc.)
  • Experience with Alteryx

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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