About this role:
Wells Fargo is seeking a Lead Control Management Officer for the Chief Operating Office (COO) Front Line Conduct team. This role reports to the COO Front Line Conduct Leader (FLCL) and is a tenured professional responsible for a front line conduct oversight function for risk generated by the aligned businesses. This person will partner with the business in the COO for Conduct related risk: policy and program adherence, assessments, monitoring, issue identification, reporting and data analysis, and identifying emerging risks during its business activities.
This role requires coordination and partnership across COO leadership teams as well as the associated enterprise teams to develop programs, procedures for implementation of conduct related policies. This position will understand the front-line requirements of all enterprise conduct-related risk management and oversight programs as set forth by Conduct Management. This currently includes:
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• Allegations Management
• Significant Events
• Sales Practices
• Insider Threat
• Gift and Entertainment
• Conflicts of Interest
• Fraud Risk
In this role, you will:
- Lead complex initiatives designed to mitigate current and emerging risks with broad impact
- Act as key participant in monitoring, evaluating, and measuring the impact of decisions practiced in Control Management functional area
- Monitor moderately complex business specific programs, and provide risk management consulting to support the business in designing and implementing risk-mitigation strategies
- Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area
- Collaborate globally with Control teams, independent risk management and audit to ensure effective responses are provided and potential risks and concerns are addressed.
- Partner with the business to identify, assess, manage, and mitigating current and emerging risk exposures within Control Management functional area.
- Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations, and provide guidance in developing and implementing risk-mitigating strategies
- Lead Control Management projects across virtual teams
- 5+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Success in developing a vision, purpose and direction and demonstrated success in carrying it forward as a visible leader.
- Experienced in data analytics including creating executive-level reporting, data visualizations, data analytics, problem solving and exploration.
- Organizational Awareness - Having and using knowledge of systems, situations, pressures, and culture within the company to identify potential organizational problems and opportunities; perceive the impact and the implications of decisions on other components of the company as well as the impact on investors, customers, and clients.
- Superior collaboration and relationship building
- A respected partner who adds value to the broader team.
- Ability to perform effectively in an ever-evolving environment and successfully address multiple, high-priority matters.
Ability to identify risk factors and ensure enactment of appropriate controls. - Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Superior writing and executive-level communication skills
- Advanced Microsoft Office (Outlook, Excel, Word, PowerPoint, Skype, and SharePoint) skills. Power BI and Tableau a plus.
- Advanced knowledge and understanding of risk management.
- Experienced in data analytics including creating data visualizations, data analytics, problem solving and exploration.
- Experience determining and investigating the root cause of identified issues.
- Superior organizational, multi-tasking, and prioritizing skills
- Serve as a Front Line Conduct Leader contact for the COO businesses with coverage for all of the oversight programs including allegations, sales practices, internal fraud, ethics, insider threat. Additionally, this partner will be identified as a credible partner and valued asset to the line of business as the subject matter expert on all Conduct programs and drive mitigation discussions with the COO businesses.
- Proactively manage and resolve conflict and effectively defend decisions with objective rationale.
- Analyze and monitor conduct risk data and metrics for boundary triggers, concerning trends, and anomalies and potential issues.
- Participate in the development, facilitation, and governance of COO Front Line Conduct team meetings and councils.
- Participate in the development of allegations, ethics, insider threat, gifts and entertainment and sales practices related policies, procedures, job aids and control plans.
- Lead complex initiatives designed to mitigate current and emerging risks with broad impact.
- Monitor moderately complex business specific programs and provide risk management consulting to support the business in designing and implementing risk-mitigation strategies.
- Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area.
- Develop and implement risk monitoring and risk reporting processes and controls.
- Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations and provide guidance in developing and implementing risk-mitigating strategies.
- Ability to synthesize data from a variety of sources and deliver results quickly.
- Amenable to work on a mid-shift (1PM shift)
- Currently on a Hybrid work set up (3/week onsite) - with possibility of eventually doing full time onsite
24 Nov 2024
*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 US: All 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 Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.