About this role:

Wells Fargo is seeking a Lead Business Accountability Specialist within the Wealth & Investment Management (WIM) Conduct and Complaints Management Program, part of WIM Risk, Regulatory, and Financial Crimes Program Execution. The team conducts and oversees root cause analysis across WIM to identify opportunities to reduce repeat issues and improve customer and employee experience. The role serves as a critical subject matter expert (SME) supporting the WIM Complaints Management Program and Enterprise Complaints Loudspeaker and Remediations (ECRL) initiatives. Learn more about the career areas and business divisions at wellsfargojobs.com.

In this role, you will:

• Serve as WIM’s Line of Business (LOB) RCA Accountable Leader for the Enterprise Complaints Program, including participation in Enterprise Root Cause Analysis Office (ERCAO) forums
• Provide strategic oversight and execution of the Enterprise Expected Complaints Root Cause Analysis (RCA) program and related controls
• Support senior leadership through Complaints Management Policy and Program expertise
• Execute and oversee RCA activities for Client Relationship Group/Wells Fargo Advisors (CRG/WFA) and WIM Non‑Brokerage Banking, Lending & Trust (BL&T)
• Own and maintain WIM RCA and reporting business requirements, aligned to Enterprise Root Cause Analysis Program Requirements
• Own and execute RCSA (Risk Control Self-Assessment) Enterprise Expected Controls
• Implement RCA and reporting program standard changes and communicate updates with LOB RCA contacts
• Create and maintain procedures, narratives, and desktop documentation for WIM Complaints RCA program oversight
• Lead and support responses to Legal, Regulatory, Audit, and Testing reporting requests and engagements
• Identify, research, and escalate Emerging Observations (EOs) as appropriate
• Lead complex, cross‑functional initiatives to address current and emerging business risks
• Assess, design, and enhance controls and risk mitigation approaches, including sustainability, reporting, measurement, and monitoring
• Make decisions in complex situations using knowledge of business operations, products, policies, and the regulatory environment
• Partner with peers and mid‑ to senior‑level leaders to identify risks and implement mitigation strategies
• Act as a liaison with internal and external stakeholders to support timely and effective communication
• Provide credible challenge to business partners and resolve moderately complex issues to meet deliverables
• May lead projects, teams, or serve as a peer mentor

Required Qualifications:

• 5+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, education

Desired Qualifications:

• Experience leading or overseeing Root Cause Analysis (RCA) programs and related reporting
• Experience working with Wealth and Investment Management businesses or risk management routines
• Experience with Complaints Management policy and Enterprise Complaint handling processes
• Experience leveraging reporting and analytics tools such as Power BI, Tableau, and ThoughtSpot
• Strong analytical, verbal, written, and interpersonal communication skills
• Proven ability to partner with senior leaders and provide effective, credible challenge
• Experience ensuring business adherence to program and policy requirements
• RCSA (Risk Control Self‑Assessment) experience, including ownership or execution of enterprise expected controls
• Knowledge and understanding of ever-evolving regulatory environments and governance processes
• Experience developing, maintaining, and implementing policies, procedures, and control documentation

Job Expectations:

• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• This position is not eligible for Visa Sponsorship.
• Follows enterprise in-office requirements.

Posting Locations:

• 550 S Tryon St - Charlotte, North Carolina 28202
• 2801 Market St, F & L Bldg - Saint Louis, Missouri 63103
• 550 S 4th St - Minneapolis, Minnesota 55415
• 800 S Jordan Creek Pkwy - West Des Moines, Iowa 50266

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

$100,000.00 - $179,000.00

Posting End Date:

19 Apr 2026

*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.

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.