WIM Sales Practices Lead Business Execution Consultant

7 days left

Wells Fargo
Charlotte, USA
Competitive Salary
14 Jan 2023
13 Feb 2023
Industry Sector
Finance - General
Employment Type
Full Time
About this role:

Wealth and Investment Management (WIM) Conduct Risk under the WIM Chief Administrative Office is searching for a highly motivated Lead Business Execution Consultant to join its team. This individual would assist directly in the development, implementation, monitoring and reporting of the WIM Sales Practice Risk, Ethics, and other Conduct Risk Management Programs. This position will have responsibility to support the Sales Practice Program as part of the WIM Conduct Risk Team.

In this role, you will:
  • Play an integral role in ensuring the successful coordination of strategies across WIM
  • Coordinate and partner with Leaders, Chief Compliance Officers and other risk managers for WIM businesses to implement and execute front line Conduct Risk Control processes and procedures across Conduct Risk disciplines
  • Develop, implement, and maintain consistent WIM risk controls, processes and procedures; advise & challenge LOB-specific controls, coordinate implementation of IRM policies across LOBs, identifying the need for controls across major end-to-end business processes; and updating controls or other approaches based on IRM, audit, regulatory feedback
  • Serve as the WIM interface to Enterprise risk related programs
  • Ensure our vision, values, goals, and behavioral expectations are embedded into WIM culture via training and education, communication and awareness, performance management & incentive compensation, sales goals, and other risk culture programs
  • Evaluate key risk and performance indicators to identify emerging trends across the enterprise, major businesses, risk domains, and the industry
  • Develop, monitor and track reporting related to front line operations
  • Facilitate discussion of potential issue management items and review items that are in flight
  • Assist and monitor corrective action activities to ensure successful resolution by established timelines
  • Report findings and draft procedures to strengthen risk at the program control and front line level
  • Develop and maintain relationships with key business personnel and key stakeholders
  • Participate root cause analysis activities to identify opportunities for new or improved controls, processes, or technology enhancement
  • Collaborate with subject matter experts to discuss trends and best practices around program management
  • Drive WIM risk program process and prevention projects to completion
  • Special projects as assigned

Required Qualifications, US:

5+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:
  • Knowledge and understanding of WIM brokerage and banking products and services
  • Experience in the development, implementation, and monitoring of Conduct Risk Programs
  • Experience with Sales Practice Program oversight and governance
  • Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules
  • Excellent verbal, written, and interpersonal communication skills
  • Strong organizational, multi-tasking, and prioritizing skills
  • Experience working with Shared Risk Platform (SHRP)
  • Knowledge and understanding of compliance and legal requirements
  • Advanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skills
  • Ability to exercise independent judgment and creative problem solving techniques
  • Ability to be flexible and adjust plans quickly to meet changing business needs
  • Good analytical skills including strategically analyzing data and diagnosing opportunities/interventions
  • Ability to interact with integrity and a high level of professionalism with all levels of team members and management
  • Professional certifications related to risk & compliance practices
  • Experience providing "credible challenge" to business partners when necessary, with the ability to lead through influence

Job Expectations:
  • Hybrid in-office model (minimum of 3 days per week in one of the office locations listed). Telework or remote work setting is not available

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.