About this role:
Wells Fargo is seeking a Business Accountability Manager
In this role, you will:
- Manage and develop a team of specialists and coordinators tasked with activities in support of the business' risk mitigation activities
- Manage a Quality Assurance group or diverse and complex department focused on designing and defining quality programs and requirements for the business
- Identify and recommend opportunities for process improvement, risk mitigation, and control opportunities
- Provide direction through managers, ensuring quality standards are maintained and ensuring enactment of approaches to correct problems
- Make decisions and resolve issues regarding resources, objectives, and operations of team to meet business objectives; interpret and develop policies and procedures for functions with low to moderate complexity and risk within scope of responsibilities
- Manage allocation of people and financial resources for team
- Mentor and guide talent development of direct reports and assist in hiring talent
Required Qualifications, US:
- 4+ years of risk management, business controls, or compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 2+ years of leadership experience
Brokerage or Wealth Management experience
Experience resolving and working through escalated and complex customer issues
Ability to identify and evaluate trends, isolate root cause, and provide swift/thorough resolution
Ability to develop partnerships and collaborate with other business and functional areas
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Experience delivering results in a fast-paced, deadline driven environment
Excellent written, verbal and interpersonal communications skills
Strong analytical skills with high attention to detail and accuracy
Ability to be flexible and adjust plans quickly to meet changing business needs
Ability to maintain professional etiquette under pressure
- MUST have FINRA Series 7 and be able to get 9/10 or 24 within 90 days is required for this role.
The role in WIM requires a FINRA Series 7 and 9/10 or 24 (the 9/10 or 24 can be obtained within 90 days of hire)
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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