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CIB Control Operations Shared Services Senior Control Officer

  • Governance & Controls
  • Full time
  • R-231767

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 CIB Operations, Shared Services Business Control Senior Officer. The Corporate & Investment Banking Control organization serves as the front line of risk management and is accountable for assessing and effectively managing all associated risks for their groups. This team works to ensure internal controls, processes, and procedures are adequate and effective, and executive management understands the risks, exposures, and trends that impact the business. The group also collaborates on projects and initiatives by providing support and awareness of risks and mitigating control solutions.  

This position is part of the CIB Operations business control team, which is responsible for the implementation and management of the First Line of Defense risk program requirements. The position will be responsible for leading risk identification, assessment, escalation, and mitigation strategies, and will perform programmatic day to day risk and control activities in support of and partnership with front line business teams.  The position will support execution of the Control function to meet regulatory commitments on time and with sustainable quality, while measurably improving the Wells Fargo control environment.

The Shared Services Operations Business Control Senior Officer will be part of a coverage team that supports the relevant process owners in establishing the line of business risk, control and governance programs. This position requires a strong understanding of operational risk framework, business process (Client Data and Onboarding, Client Service, Account Configuration, Agreements Management, Tax Operations), broader securities operations and related technology.

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In this role, you will:

  • Serve as a coverage officer within the control team, with proven knowledge of applicable products, services, processes, systems and customers
  • Manage, delegate and ensure daily deadlines for the Shared Services Operations Business Control team are met in accordance with policy
  • Develop a strong working knowledge of the Shared Services Operations functions and inventory of related processes, risks and controls
  • Collaborate with the Issues Management team, LOB and other stakeholders to identify, open, monitor, close and validate all SHRP Issues, according to policy
  • Continuously engage in discussions with LOB partners on strategy, industry trends, organizational changes, and new/modified markets, systems, products and services, to determine impact and identify and remediate risk control issues across all risk types
  • Collaborate with, guide and counsel Risk Control and LOB partners on control design and implementation; inherent and residual risk evaluation; identifying where controls reside, managing control changes and evaluating effectiveness
  • Collaborate with, guide and counsel LOB partners on matters relating to the implementation of corporate policies and CIB Risk program requirements
  • Direct support of the RCSA and related policy requirements
  • Lead RCSA workshops and related efforts to collect and document business risk and controls.
  • Support of the inventory of business processes, internal testing, audit, regulatory engagements outputs and the integration with RCSA, as applicable
  • Support timelines and preparations for Evidence Based Control Evaluation and QA engagements over the RCSA outputs
  • Works with the business units and provides risk expertise and consulting for projects and initiatives
  • Evaluate the adequacy and effectiveness of policies, procedures, processes, systems and internal controls, analyze business and/or system changes to determine impact; identify risk issues and may participate in the development of risk ratings
  • Consults with business to review and define the business process inventory and perform risk related reviews of established inventory
  • Reports findings and develop business cases to influence executive management or management committee member/head of business on the need for controls to mitigate risk
  • Contribute to LOB governance and review exercises

Required Qualifications:

  • 7+ years of Risk Management or Financial Services Industry experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

  • Experience with RCSA, risk/control identification and assessment
  • Experience with determination of business risk-rating, profile and trend
  • Strong knowledge of operations and operations technology
  • Knowledge of markets products, clients and related operations
  • Experience with Issues Management
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
  • Excellent interpersonal and communication skills and experience in articulation of risk both verbally and in writing to various levels of staff and management
  • Ability to demonstrate strong organizational skills, attention to detail, and adherence to strict deadlines in a challenging environment
  • Experience with enterprise risk frameworks and related processes
  • Ability to be flexible and adjust plans quickly to meet changing business needs
  • Ability to take initiative and work independently with minimal supervision
  • Ability to translate and summarize complex data into understandable, actionable information and recommendations
  • Experience delivering results in a fast-paced, deadline driven environment

Posting Location:

550 S Tryon Street Charlotte, NC

The Control Functions adhere to a 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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