Operational Risk Manager 3

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.
This position will report to the Managing Director for the Advisory Services Group (ASG) within Wells Fargo Advisors and be responsible for managing development, implementation and monitoring of a risk-based program for the department. This position will also be responsible for managing the operational risk consultant and publishing teams with ASG. Other responsibilities will include: drafting, updating and executing operational and supervisory procedures; evaluating the adequacy and effectiveness of policies, procedures, and internal controls, data analytics, special projects and other related duties as assigned. This position is located in St. Louis, MO and will generally include the following working hours: Monday through Friday, 8am-5pm.
Job expectation: Registration for FINRA Series 66 (or 63 and 65) and Series 87 must be completed within 60 days of hire date. FINRA recognized equivalents will be accepted.
As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

Required Qualifications
  • 8+ 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; or 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
  • 3+ years of management experience
  • Successfully completed FINRA Series 24 exam to qualify for immediate registration (or FINRA recognized equivalents)
  • Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications
  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to articulate complex concepts in a clear manner
  • A Masters of Business Administration (MBA) or Chartered Financial Analyst (CFA) Designation
  • 8+ years of securities industry experience
  • Ability to lead projects/initiatives with high risk and complexity
  • Ability to simultaneously lead multiple projects
  • Ability to work effectively, as well as independently, in a team environment
  • Experience delivering results in a fast-paced, deadline driven environment
  • FINRA registration including Series 87 (or FINRA recognized equivalents)
  • Experience working with changing priorities and deadlines

Other Desired Qualifications
  • Knowledge of FINRA and SEC advertising and research regulations
  • Ability to interpret new and existing regulations as mandated
  • Ability to effectively manage team members primarily responsible for compliance review and publication of timely research publications
  • 5+ years of direct experience related to the review of communications with the public


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.


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