- SALARY:NONE
- LOCATION:NONE
About this role
Wells Fargo is seeking a Senior Business Accountability Specialist...
In this role, you will
- Be part of the Front-Line Market Conduct and Supervision team and assist with design, implementation, and execution of controls relating to the following workstreams
- Conflicts of Interest (Personal Account Dealing, Outside Business Activities, Clean Desk Review, Seating Arrangements, etc.)
- E-Communications (Bloomberg Chatroom Controls, Ethical Firewall, etc)
- Employee Licensing & Registration and Supervisory Hierarchy review (FINRA, NFA, SEC SBS, etc.)
- Management and oversight of day to day and BAU control execution
- Effectively communicate control and process changes to various stakeholders. Train employees as standards are implemented.
- Act as a point of contact for escalation for identified Supervision exceptions.
- Act as a liaison relating to Audit, FLIV, IT&V and EBCE requests and inquiries.
- Collaborate and consult with Onshore teams and India Management for any escalations and process improvement ideas.
Required Qualifications
- Bachelor's/master's degree or any professional degree is required.
- 8+ years of Risk Management or Business Controls experience.
- Experience working within Corporate & Investment Banking businesses, associated products and services, and relevant risk and controls of the LOBs.
Additional Requirements
- Working knowledge of risk management framework concepts and policies.
- Interfacing with relevant stakeholders to gather business requirements for the control design and development stages.
- Ability to articulate business strategy and operations and translate organizational strategies into clear objectives and business plan and action.
- Remain updated on developments and changes concerning relevant regulatory rules/regulations and policies.
- Develop and maintain a good understanding of the Firms business groups and products in accordance with the relevant processes and procedures with a view to expanding and improving existing coverage.
- Actively participate in team meetings. Bringing solutions / suggestions / recommendations to the table.
- Ability to take initiative and work independently with minimal supervision in a structured environment.
- Demonstrated ability to handle multiple tasks in a fast-paced environment.
- Strong written communication and verbal communication skills in English.
- Excellent analytical skills and strong attention to detail.
- Must exhibit highest standards of integrity and maintain confidentiality.
- Experience in creating MIS for senior management.
Posting End Date
*Job posting may come down early due to volume of applicants.
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 USAll qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit
Disability Inclusion at Wells Fargo
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Wells Fargo maintains a drug free workplace. Please see our