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Business Accountability Specialist

  • Strategy & Execution
  • Full time
  • R-225503

About this role:

Wells Fargo is seeking a Business Accountability Specialist...


In this role, you will:

  • Participate in research, assessment, and documentation of matters relating to the business’ policy and regulatory adherence, risk mitigation, or control efforts; identify patterns and trends and looks for opportunities for procedural or control improvements within area of focus
  • Conduct assessments and analysis of basic business or operational outcomes, systems of record, technical assignments, documentation, procedures, or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment to guide completion of medium risk deliverables
  • Present concise and well-articulated findings and recommendations, including rationale, to facilitate resolution of identified matters; exercise independent judgment while developing expertise in the risk mitigation or control activities of the business
  • Engage in additional research and studies to enhance regulatory knowledge
  • Collaborate and consult with colleagues, internal partners, and other business stakeholders to provide feedback, credibly challenge issues, and calibrate, as needed, to ensure alignment, consistency, and accuracy across groups
  • Participate in cross-organizational or internal operational initiatives and improvement efforts


Required Qualifications:

  • 2+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following:  work experience, training, military experience, education
  • Successfully completed FINRA SIE and Series 7 to qualify for immediate registration


Desired Qualifications:

  • 4+ year of brokerage industry experience
  • Experience performing quality assurance audits
  • Experience with SmartStation, ECMP, BETA, ClientLink, Microsoft Office
  • Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
  • Ability to motivate and provide performance feedback to staff
  • Experience developing partnerships and collaborating with other business and functional areas
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Ability to assess current processes/procedures and make recommendations for efficiency
  • Experience resolving and working through escalated and complex issues


Job Expectations:

  • Maintaining Financial Industry Regulatory Authority (FINRA) Series 7 license is required for ongoing employment in this position

  • Ability to work s hybrid schedule is 1 week in the office, 1 week remote

    @RWF22

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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