Operational Risk Consultant 3 - Product Governance & Controls Consultant

Job Description
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.

Wells Fargo Advisors' Products & Advice Group manages the suite of products and services offered to our clients. In addition this group provides research, investment strategy and discretionary portfolio management. Products and Advice includes the Investment and Advisory Products Group, Capital Markets Trading, Advisory Services Group, Lending & Banking Services, Advice Quality, and Relationship Management.
The Products Governance and Controls Team works with managers throughout Products and Advice to provide thought leadership and a governance framework to manage risk and implement processes that ensure compliance with industry rules and regulations.
The Governance and Controls Consultant will report to the Director of Product Governance and Controls and will be responsible for working with managers and team members to drive continuous improvement in the control environment. Responsibilities include but are not limited to:

  • Consult with managers and team memebers to identify and assess risk issues and ensure timely and adequate resolution
  • Conduct self-assurance testing activities to verify controls are operating as expected
  • Assist managers with business process documentation (policies and procedures, process maps, etc.)
  • Contribute to reporting on group activities such as self-assurance testing, issue resolution, etc., as needed
  • Consult with Governance partners (Compliance, Audit, Risk, Legal) to coordinate testing, new rules, and other activities as needed
  • Assist in coordinating governance and other meetings as needed
  • Manage or participate on risk and controls related projects as needed
  • Manage or participate with the Periodic Product Portfolio Review is needed


Required Qualifications
  • 2+ years 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
  • 2+ years 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


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
  • Knowledge and understanding of audit methodologies and tools that support audit processes
  • Knowledge and understanding of application testing methodologies, tools, and execution
  • Audit or internal controls testing experience
  • FINRA registration including Series 9/10 or 24 (or FINRA recognized equivalents)
  • A BS/BA degree or higher
  • FINRA registration including Series 7 (or FINRA recognized equivalents)


Other Desired Qualifications
  • Specific experience in testing & audit methodologies
  • Financial Service Industry experience with an emphasis on products, compliance, internal audit, or internal controls
  • Ability to work with partners in multiple organizations and disciplines to achieve results
  • Strong critical thinking, analytical and problem solving abilities
  • Strong organizational skills and ability to prioritize tasks to meet deadlines
  • Direct Brokerage/Advisory Service experience strongly preferred


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.

WEALTH INV MGMT/WIM PSI
0051653 WEALTH INV MGMT/WIM PSI


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