Provide companywide advice and technical expertise on matters related to complex financial analysis as well as economic research in support of management decision making functions Research strategies and make recommendations for forward financial planning Provide support to more experienced professionals in the management of product pricing, portfolio performance, closing research and validation Review technical challenges that require evaluation or multiple factors including intangibles or unprecedented factors Make decisions in maintaining effective and efficient reporting delivery that meets brand standards and internal control standards Lead implementation of the most complex initiatives
impacting multiple lines of business companywide Meet deliverables and drive new initiatives with solid understanding of policies, procedures, and compliance requirements Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Required Qualifications: 5+ years of Finance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: BS/BA degree or higher in one or a combination of the following: Finance, Accounting, Analytics, or Reporting Finance experience in one or a combination of the following: finance, analytics, reporting or financial/statistical
modeling Understanding the financial side and the strategic side of the business to assist the business in its growth efforts Ability to translate and present financials, projects and data in a manner that educates, enhances understanding, and influence decisions Strong analytical skills with high attention to detail and accuracy Ability to work and manage effectively in a matrixed organization Advanced Microsoft Office (Outlook, Excel, Word, Power Point, Live Meeting and Share Point) skills with a high level of proficiency with Excel Knowledge and understanding of Essbase Finance tools for reporting and analysis Ability to communicate effectively, in both written and verbal formats, including to senior executive-level leaders Pay Range $111,100.00 - $237,100.00 Benefits Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future.
Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees. 401(k) Plan Paid Time Off Parental Leave Critical Caregiving Leave Discounts and Savings Health Benefits Commuter Benefits Tuition Reimbursement Scholarships for dependent children Adoption Reimbursement We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, interactionual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, interaction, interactionual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. PDN-9acf868b-1494-410f-bf18-6f3fb5b78482
approach and our commitment to diversity, equity, and inclusion in the workplace. We offer competitive salaries and one of the richest benefits packages in the industry. Our Total Rewards program focuses on wellness, work-life balance and the financial health of our employees.
Our customers invest with us, we invest in you. Apply today. About this role: Wells Fargo is seeking an Escalations Associate - Registered. In this role, you will: Research and resolve escalated inquiries and complaints including review of in process, closed, or cancelled single loan or credit exceptions, applications, claims, files or online transactions Determine appropriate course of action by conducting investigative
steps to identify the issues, research product information, and process complex or corrective transactions online Review escalated inquiries and complaints that require special handling, process complex or corrective transactions online, and ensure resolution or negotiation of sensitive and time critical matters Receive direction from supervisors and exercise judgment within defined parameters while developing understanding of investigative steps to identify and resolve issues, terms, conditions, and contracts to ensure the process and documentation are in compliance with internal company requirements, insurer guidelines, investor requirements or government regulations Provide information to
the management committee members, agencies, or business leaders related to the escalated inquiries and complaints Required Qualifications, US: 6+ months of Customer Contact in a Financial Services Environment, Financial Services Operations, Underwriting, or Quality Assurance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education FINRA SIE and Series 7 examinations Desired Qualifications: 2+ Months of brokerage complaint handling experience Brokerage operations experience Brokerage client support experience Experience resolving and working through escalated and complex issueinteractionperience managing complaints and objections effectively and professionally Client service focus with the ability to listen to customer needs and recommend solutions Ability to identify customer needs and obstacles and take the necessary steps to problem solve Solid understanding of brokerage products and services Strong business writing skills Intermediate Microsoft Office (Word, Excel, and Outlook) skills Strong analytical and problem-solving skills with high attention to detail and accuracy Strong organizational, multi-tasking, and prioritizing skills Strong time-management and case management skills Ability to quickly adapt to changes in processes and procedures if needed Ability to effectively manage large case inventory and quickly adapt to changes in inventory levels Intellectual curiosity and willingness to learn Job Expectations: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position FINRA recognized equivalents will be accepted This will be communicated at time of offer acceptance Compliance with state law registration and licensing requirements is mandatory In addition to state registration and licensing requirements, 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 licensing 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@RWF22 We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, interactionual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, interaction, interactionual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. PDN-9acd837f-1a72-434c-845c-b8f3aff5e525
Control organization and will be responsible for providing risk management leadership and expertise to the Structured Products Trading team. The position will be responsible for leading risk identification, backssment, escalation, and mitigation strategies, and will perform programmatic day to day risk and control activities in support of and partnership with front line business teams.
The leader should demonstrate " brilliance in the basics" in the execution of the Control function to meet regulatory commitments on time and with sustainable quality, while measurably improving the Wells Fargo control environment. This role will be expected to take on leadership accountabilities
in support of the risk transformation initiatives and will operate as the primary point of contact with key partners including Control, Independent Risk, and Business Leadership.
Other responsibilities include, but are not limited to, providing risk management leadership and expertise on applicable bank policies and related risk and control process requirements. In this role, you will: Lead complex initiatives designed to mitigate current and emerging risks with broad impact Act as key participant in monitoring, evaluating, and measuring the impact of decisions practiced in Control Management functional area Monitor moderately complex business specific programs, and provide risk management
consulting to support the business in designing and implementing risk-mitigation strategies Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area Develop and implement risk monitoring and risk reporting processes and controls Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations, and provide guidance in developing and implementing risk-mitigating strategies.
Lead Control Management project or virtual teams Specific CIB responsibilities include: Serve as the primary day-to-day lead coverage officer for Structured Products Trading Serve as Control team lead for risk governance and as the escalation point for all control issues for aligned business leaders and team.
Act as the key point of contact in CIB Control for selected senior leaders in Structured Products Trading, Independent Risk Management, Internal Audit, regulators, and other constituents related risk and control requirements, performance, and enhancement efforts. Continuously engage in discussions with LOB partners on strategy, industry trends, organizational changes, and new/modified markets, systems, products and services, to determine impact and identify and remediate risk and control issues across all risk types.
Guide the Structured Product Trading leaders through detailed risk and control evaluations, collection of metrics and supporting observations, and maintaining recurring forums to evidence management validation and attestation to RCSA. Responsible for issue management by documenting and backssing control weaknesses and operational risk incidents using methods such as root cause analysis. Consult with business process owners to develop corrective action plans and control redesign Oversee implementation progress and conduct control evaluation efforts as required.
Coordinate with business and support partners for creation of Self-Disclosed issues in Issues Management system of record. Record losses in the system of record, as applicable. Management Reporting: Establish and update recurring and timely reports on risks, initiatives, and deliverables for communication with business leaders and risk partners. Exams / Reviews: Conduct advanced planning and coordination with appointed business contacts and internal testing and examination engagement leaders/teams such as EBCE, Independent Testing and Validation (IT&V), Internal Audit, and Regulatory exams.
Control development, projects & platform initiatives: Develop business cases to influence process owners, control owners, business sponsors, and key risk partners on the need for additional or improved controls to mitigate risk; Work with the business and support teams to provide operational risk expertise and consulting for projects and platform initiatives, considering impacts to risk & control framework. Monitor and evaluate emerging risks, operational trends, and external events for potential impact to the control environment in context of RCSA.
Provide ongoing, consolidated reporting to ensure senior leaders are aware of progress, risks, challenges, and results. Maintain the inventory of all relevant business processes, governance channels, internal testing, audit, regulatory engagements and prioritize internal preparation. Establish a formal communication channel to broadcast risk program updates, risk profiles, policy updates and other key risk program information to the senior leaders of all coverage areas. Continuously engage in discussions with LOB partners on strategy, industry trends, organizational changes, and new/modified markets, systems, products and services, to determine impact and identify and remediate risk and control issues across all risk types.
Ensure appropriate connectivity, linkage, and integration with in-region international risk management teams accountable for LOB activities. Work with the business and support teams to provide operational risk expertise and consulting for projects and platform initiatives. Analyze business, industry, system changes or other material business environment changes to determine impact, identify and backss operational risk issues. Required Qualifications: 5+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
Desired Qualifications: Extensive front line direct experience with developing and/or executing risk and control backssment programs. Experience in identifying gaps and proposing corrective actions. Knowledge of Issue Management lifecycle. Experience in large and complex banking or broker/dealer institutions, risk management leadership experience in multi-jurisdictional global financial institution. Direct experience in operational risk reporting and escalation programs.
Extensive knowledge of Target State RCSA, process, purpose, scope, the RAU Owners roles and responsibilities roles, accountabilities and deliverables. Strong knowledge of products, services, applicable regulations and policies, business processes, systems and customers in the Structured Products Trading space. Knowledge of the Risk Management Framework (RMF) concepts and policies across risk types (regulatory, credit, operational, etc. ). Job Expectations: Ability to travel up to 10% travel. Ability to work on site per Wells Fargo's standard operating model in one of the listed locations.
We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, interactionual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law. 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.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, interaction, interactionual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities.
Accommodation for applicants with disabilities is available upon request in connection with the recruitment process. Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. PDN-9acd8386-ce76-436a-9de8-39dd162b8091
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