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Control Management Associate Manager

  • Governance & Controls
  • Full time
  • R-158519

About this role:

Wells Fargo is seeking a Control Management Associate Manager...


In this role, you will:

  • Supervise Business Controls team of processors and analysts in their daily operational tasks, and evaluate workflow application of policies and procedures to ensure timely completion, quality, and compliance in relevant business groups
  • Identify opportunities for process improvement and risk control development by assessing, managing, and mitigating current and emerging risk exposures associated with activities and operations
  • Recommend operational improvements in less complex functions
  • Make daily supervisory and tactical decisions to resolve business specific risk controls or processes under direction of functional area management
  • Leverage interpretation of policies, procedures, and compliance requirements during implementation of multiple complex initiatives with low to moderate risk
  • Collaborate and consult with front line management and interact directly with relevant business groups
  • Monitor performance of individuals members according to established Business Controls standards and conduct performance evaluations
  • Manage allocation of people and financial resources for Business Controls functional area
  • Mentor and guide talent development of direct reports and assisting in hiring talent


Required Qualifications, International:

  • Experience in Risk Management, Business Controls, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • Leadership experience
  • 10+ years of experience in risk management or 7+ years of financial services industry experience and direct experience in risk management, of which 5+ years must include People Manager experience


Desired Qualifications:

  • Lead the team of Sr. Specialists to set up the program and keep driving a strong positive Team environment

  • Conduct verification testing of Issues at key points in the Issue Management lifecycle to identify observations on the success of mitigation efforts, and ultimately provide Issues rating. Conduct activities in coordination with LOB stakeholders, and in alignment with Issue Management frameworks and policies.

  • Manage the intake of documentation requests and subsequent requests for additional documentation

  • Execute pre-verification and planning activities (i.e., execute pre-verification checklist, develop verification plan)

  • Proven track record in Stakeholder Management and have thirst to add value both functionally and efficiency

  • Perform verification activities leveraging issue verification framework and related policy and procedures, at the same time guide/mentor the team on the same

  • Drive quality and consistency across the issue verification program

  • Draft conclusions and/or findings based on the verification activities performed

  • Maintain verification documentation (e.g., test plan, verification checklist, verification summary memo, etc.)

    Interfaces internally with the team.

  • Dynamic Individual contributor role, which requires the ability to manage multiple simultaneous work streams at once


Job Expectations:

  • Audit and/or controls testing experience

  • Track record of working in a team-based environment to solve business challenges

  • Ability to drive quality and consistency across the issue verification program

  • Experience in the development of testing plans and procedures

  • Ability to multitask efficiently while paying close attention to detail

  • Listens without interrupting, asks clarifying questions as needed, forms judgements with consideration.

  • Experience evaluating the adequacy and effectiveness of policies, procedures, processes, systems and internal controls; additional experience analyzing business and/or systems changes to determine impact

  • Familiar with various quality assurance techniques.

  • Audit or internal control evaluation experience

  • Risk Management Certification Programs

  • Ability to influence and consult internally.

  • Strong risk and control fundamentals.

  • Written and oral communication skills

  • General awareness of operational risk management in the financial services industry.

  • Experience in assessing risk, reviewing risk ratings, and identifying control deficiencies

  • Ability to synthesize data from a variety of sources and deliver results quickly

  • Capable to deliver high quality output

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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