International Business Risk and Control Analyst - International Business Risk & Control - Miami, FL

Job Description

Let's talk about building a rewarding career - It starts with you.

Our goal is to attract, develop, retain and motivate the most talented people - those who care and who work together as partners across business units and functions. We value and promote diversity and inclusion in every aspect of our business and at every level of our organization.

Wells Fargo Advisors operates the nation's third-largest Brokerage business with 15,134 Financial Advisors and 3,883 licensed bankers in retail stores across the U.S. Wells Fargo Advisors administer $1.4 trillion in client assets. Unprecedented choice and flexibility for Financial Advisors and their clients is provided through distinct business channels supported by established products, services and technology.

The International Business Risk and Control Analyst is responsible for implementing and monitoring a risk-based program to identify and mitigate any operational risk that arises from inadequate or failed internal processes, people, systems or external events or may provide oversight of an operational risk program. Participates in and provides consulting and support for projects and initiatives with moderate risk to identify and mitigate operational risk in business activities. May provides technical support for systems security-related issues. Implements testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; identifies operational risk issues; advises management on risk ratings and evaluates ratings against established policy standards. May assist in drafting corrective action plans and in managing change. Identifies training opportunities; may provide input to the development of training materials and delivers training. Drafts reports of findings and recommendations to mitigate risk for operational risk management. Coordinates production of periodic operational risk performance reports for senior management, including trend analysis and recommendations.

The International Business Risk and Control Analyst (BRCA) function ensures the proactive identification and mitigation of risk and control issues for an International Hub. The BRCA will support the Business Risk and Control Manager (BRCM) to monitor the international aspects of the control environment within the International Hub, Complex or Branch; engage with local HUB/Complex/Region managers to ensure proper controls related to the international aspects of the business are followed; engagement on EDD and ODD activities (both on-boarding and on-going), AML business controls and other Compliance related initiatives from the business perspective; interaction with Financial Advisors working with NRA clients; partner with members of the support units (AML, Compliance, Risk and Legal) and other business units to ensure proper alignment of control related activities.

The Analyst will be responsible for comprehensive maintenance of database, data analysis, identifying risk and potential gaps in data management. The Analyst will utilize advanced Microsoft skills to prepare PowerPoint presentations, Excel presentations using complex formulas and functions such as V-lookup, H-Lookup, Pivot Tables and other functions to obtain meaningful trends and directions and ad-hoc projects as needed.

Required Qualifications

  • 1+ year of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both
  • 1+ year of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field
  • Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
  • Bilingual speaking, reading, and writing proficiency in Spanish/English

Desired Qualifications

  • Intermediate Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization
  • Financial services experience
  • Knowledge and understanding of international brokerage operations
  • Excellent technical skills
  • Microsoft Excel spreadsheets experience importing, exporting, and manipulating data
  • FINRA registration including Series 9/10 (or FINRA recognized equivalents)
  • Bilingual speaking proficiency in Portuguese/English

Other Desired Qualifications

  • Understanding of relevant US and international regulation and regulatory frameworks
  • Experience with investment related systems

Job Expectations

  • Registration for FINRA Series 9/10 must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
  • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.

Disclaimer

All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

0161784 WEALTH INV MGMT/WIM PSI


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