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About this role:

The Corporate & Investment Banking Ops Control organization serves as the front line of risk management and is accountable for assessing and effectively managing all associated risks for their groups. This team works to ensure internal controls, processes, and procedures are adequate and effective, and executive management understands the risks, exposures, and trends that impact the business. The group also collaborates on projects and initiatives by providing support and awareness of risks and mitigating control solutions. As part of the CIB Ops Control team, this role will focus on direct support of RCSA, Issues Management, ORKI, business enablement and other risk program initiatives for organizations under CIB Ops.

Successful candidates will be articulate and possess a demonstrated leadership capability; they will be impressive in their inter-personal effectiveness and with regard to their accomplishments. Crucial to the role are strong relationship management, influencing, vision, execution skills, a sense of urgency, passion for results, and personal accountability for achievement. A key differentiator will be the ability to navigate and thrive within a complex, heavily matrixed corporate environment, demonstrating agility in managing cross-functional relationships, aligning diverse stakeholder interests, and driving risk and control management initiatives across multiple lines of business, geographies, and regulatory frameworks. The candidate will work closely with other senior leaders across CIB Control and CIB Ops, and risk and operational partners from elsewhere in the company in the development and execution of company risk management strategies.

In this role, you will:

Control Coverage & Specialized Support

• Provide control coverage for Non-Financial Regulatory Reporting Operations, Transaction Reporting Operations, and potentially other lines of business under CIB Operations teams
• Provide specialized support for Non-Financial Regulatory Reporting Operations, including SLATE (SEC Rule 10c-1a) controls, TRACE, and Electronic Blue Sheet reporting
• Expand understanding of stock loan and fixed income trade processes, and post-trade regulatory reporting

Risk Reporting & Regulatory Engagement

• Support regulatory exams and audits related to transaction and regulatory reporting, including preparation, coordination, and response activities
• Monitor regulatory developments impacting transaction reporting controls and partner with stakeholders to implement necessary control changes
• Awareness and involvement in regulatory change control, and alignment of related controls
• Contribute to governance routines and management reporting leveraging RCSA data
• Communicate the pipeline of engagements, issues, and any related requirements to ensure that internal and external timelines are met

Risk & Control Management

• Serve as a business control management (BCM) within the control team, with proven knowledge of applicable products, services, processes, systems, and customers
• Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology, and internal controls
• Partner with business control managers and the business to maintain the business process inventory
• Partner with business control managers to ensure that the RCSA and related risk and control profiles are maintained following any engagements/related issues and corrective actions
• Manage RCSA triggers, including the assessment of RCSA
• Coordinate with business and support partners for creation of Self-Disclosed issues in Issues Management system of record
• Control documentation, control evaluation, control implementation, and monitoring

Issue Management & Remediation

• Identify errors in transaction reporting, research root causes, initiate remediation, make corrections, and track resolutions
• Lead efforts for issues and corrective actions identified during engagements inclusive of root cause identification, issue intake, alignment of corrective actions, and closure requirements

Strategic Collaboration & Oversight

• Continuously engage in discussions with operations partners on strategy, industry trends, organizational changes, and new/modified markets, systems, products, and services to determine impact and identify and remediate risk control issues across all risk types
• Collaborate with reporting teams to assess and enhance control frameworks specific to transaction and regulatory reporting processes
• Collaborate with Operations partners on control design, implementation, and monitoring
• Ensure appropriate connectivity, linkage, and integration with in-region international risk management teams
• Lead the strategy and resolution of highly complex current and emerging risks requiring in-depth evaluation across multiple areas or the enterprise, as well as good understanding of data management and other operational risks
• Monitor, measure, evaluate, and report impact of decisions and business controls to the relevant business group and enterprise function

Required Qualifications:

• 4+ 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

Desired Qualifications:

• Knowledge of stock loan processing
• Knowledge of TRACE reporting
• Knowledge of Electronic Blue Sheets Reporting
• Experience with transaction reporting
• Knowledge and understanding of risk applications i.e. Shared Risk Platform (SHRP) and Service Now (SNOW) and Veritas
• Knowledge and understanding of internal controls and internal control policy
• Experience with RCSA, risk/control identification and assessment, and enterprise risk frameworks
• Strong domain knowledge of Investment banking operations is desirable
• Ability to synthesize data and/or observations from a variety of, often disparate and unconnected, sources, deliver succinct summaries (both verbal and written), and enact responses quickly
• Exceptional interpersonal and relationship building skills to effectively influence all organizational and leadership levels, where flexibility, collaboration, and adaptability are a must
• Highly organized and proactive with demonstrated ability to assess, exercise independent judgment, apply prudent risk management principles, prioritize work to meet deadlines, and proactively escalate when necessary
• Experience working with Technology in an agile environment
• Strong skillset in data analysis, critical thinking and networking
• Demonstrated leadership and communication abilities
• Advanced Microsoft Office (Excel and PowerPoint) skills

Job Expectations:

• Ability to travel up to 10% of the time

• This position offers a hybrid work schedule

• Ability to work at one of the posting location(s)

• Relocation is not offered for this role

Posting Locations:

• 550 S Tryon, Charlotte, NC

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. 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.

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 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.

Drug and Alcohol Policy

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.