Business Accountability Specialist

About the position Wells Fargo is seeking a Business Accountability Specialist in the Chief Operating Office, providing coverage in: Operations, Regulatory and Policy Affairs, Enterprise Customer Excellence, Sales Practices Oversight and Management, and Strategic Execution and Operations. It also includes the Chief Administrative Office, encompassing the Corporate Properties Group, Corporate Security, Enterprise Business Resiliency, Strategic Programs and Process Improvement, Enterprise Change Management, Supply Chain Management, and Data Management and Insights. In this role, you will: Participate in research, assessment, and documentation of matters relating to the business’ policy and regulatory adherence, risk mitigation, or control efforts; identify patterns and trends and looks for opportunities for procedural or control improvements within area of focus Conduct assessments and analysis of basic business or operational outcomes, systems of record, technical assignments, documentation, procedures, or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment to guide completion of medium risk deliverables Present concise and well-articulated findings and recommendations, including rationale, to facilitate resolution of identified matters; exercise independent judgment while developing expertise in the risk mitigation or control activities of the business Engage in additional research and studies to enhance regulatory knowledge Collaborate and consult with colleagues, internal partners, and other business stakeholders to provide feedback, credibly challenge issues, and calibrate, as needed, to ensure alignment, consistency, and accuracy across groups Participate in cross-organizational or internal operational initiatives and improvement efforts

Responsibilities

• Participate in research, assessment, and documentation of matters relating to the business’ policy and regulatory adherence, risk mitigation, or control efforts
• Identify patterns and trends and looks for opportunities for procedural or control improvements within area of focus
• Conduct assessments and analysis of basic business or operational outcomes, systems of record, technical assignments, documentation, procedures, or challenges that require research, evaluation, and selection of alternatives
• Exercise independent judgment to guide completion of medium risk deliverables
• Present concise and well-articulated findings and recommendations, including rationale, to facilitate resolution of identified matters
• Exercise independent judgment while developing expertise in the risk mitigation or control activities of the business
• Engage in additional research and studies to enhance regulatory knowledge
• Collaborate and consult with colleagues, internal partners, and other business stakeholders to provide feedback, credibly challenge issues, and calibrate, as needed, to ensure alignment, consistency, and accuracy across groups
• Participate in cross-organizational or internal operational initiatives and improvement efforts

Requirements

• 2+ 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, military experience, education
• Successfully complete Financial Industry Regulatory Authority (FINRA) SIE and Series 7 examinations sufficient to qualify for immediate FINRA registration.
• Maintaining Financial Industry Regulatory Authority (FINRA) Series 7 license 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.
• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.
• Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.
• Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
• Ability to work hybrid schedule
• Must be able to work OT as business needs require

Nice-to-haves

• 2+ year of brokerage industry experience
• Experience with SmartStation, ECMP, BETA, ClientLink, Microsoft Office
• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
• Experience developing partnerships and collaborating with other business and functional areas
• Excellent verbal, written, and interpersonal communication skills
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to assess current processes/procedures and make recommendations for efficiency
• Experience resolving and working through escalated and complex issues

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