Business Accountability Specialist

Business Accountability Specialist

Wells Fargo is seeking a Business Accountability Specialist in the COO (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.

Required Qualifications:

• 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 FINRA Series 7 to qualify for immediate registration (or FINRA recognized equivalents).

Desired Qualifications:

• 2+ years of brokerage industry experience.
• Experience with Smart Station, ECMP (Enterprise Complaints Management Platform), and/or ClientLink.
• Experience with one or a combination of Microsoft Office (Word, Excel, Outlook, and PowerPoint).
• 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.

Job Expectations:

• 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. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.
• This position offers a hybrid work schedule.

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.