About this role:

Wells Fargo is seeking a Senior Lead Enterprise Risk Officer in Wealth and Investment Management (WIM) CRO as part of Corporate Risk. This role will report directly to the WIM Broker Dealer Chief Risk Officer and will work with the WIM Risk team to leverage risk oversight routines to perform monitoring, oversight, and challenge of the WIM Business.

In this role, you will:

• Support the WIM Broker-Dealer CRO and WIM Risk team in risk oversight routines and activities, risk assessment of new business and change management initiatives, significant business and risk projects, policy reviews and other risk initiatives.

• Develop and maintain a thorough working knowledge of the business activities in WIM including trends and themes across the business and market environment (e.g., regulatory requirements, industry standards, client, and product needs) relevant to the WIM business.

• Apply business knowledge and data analytics techniques to support and conduct targeted risk reviews in collaboration with other risk functions, compliance, business control and business management partners.

• Provide data driven insights across various risks that impact WIM on existing and emerging risks.

• Support CROs in documenting challenges. Challenge front-line risk programs, including risk metrics and indicators for the WIM business, by effective collaboration across second and front-line functions. 

• Support identification of key risks to be reported and escalated including instances of non-compliance with policies.

• Collaborate with Independent Risk Management enterprise teams to influence the integration of enterprise risk programs.

• Work closely with Compliance, Operational Risk, Fiduciary Risk, Independent Testing & Validation teams on risk review activities.

• Partner with the CRO team to deliver risk reporting to executive management, committees, and Board of Directors, and assists in development of actionable insights.

• Identify and escalate risk and control issues with transparency, in a timely manner and in accordance with Company policies and procedures.

• Support delivery of large scale, sustainable solutions by applying vision, creativity, innovation, advanced analytical and inductive thinking, and coordination of highly complex activities.

• Maintain partnerships with business lines and functional teams such as Audit, Legal, and Compliance.

Required Qualifications, US:

• 7 years of Risk Management experience (Compliance, Financial Crimes, Operational Risk, Audit, Legal, Credit Risk, Market Risk, IT Systems Security, Business Process Management) or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, or education.

Desired Qualifications:

• Advanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skills.

• Excellent verbal, written, and interpersonal communication skills.

• Strong analytical skills with high attention to detail and accuracy.

• Strong organizational, multi-tasking, and prioritizing skills with an ability to adapt to changing priorities.

• Ability to execute with a strong sense of accountability and urgency while maintaining high quality and accuracy in deliverables.

• Ability to partner, influence, and maintain relationships at all levels within a highly matrixed organization.

• Ability to be self-directed with limited supervision.

• Ability to articulate complex concepts in a clear manner.

• Experience in risks impacting WIM and knowledge of applicable regulatory requirements and laws.

• Knowledge of the infrastructure supporting the WIM business and front-to-back control processes

• Strong understanding of brokerage supervisory frameworks and potential conflicts of interest.

• Strong understanding of investment and advisory products, product risks and appropriateness of these products to brokerage clients. 

• Knowledge and ability to use data, and partner with data teams to identify risks and issues.

• M.B.A. or Master’s degree preferred.

• FINRA Series 7 license preferred.

Posting Locations:

• 150 E 42nd St, New York, New York

• 2710 Pine St E Bldg, Saint Louis, Missouri

• 125 High St, Boston, Massachusetts

• 1150 W Washington St, Tempe, Arizona

• 7001 Westown Pkwy, West Des Moines, Iowa

• 600 S 4th Street, Minneapolis, Minnesota

• 401 S Tryon Street, Charlotte, North Carolina

• 445 Ross Ave, Dallas, Texas

Job Expectations:

This position offers a hybrid work schedule.

*Job posting may come down early due to volume of applicants.

Pay Range

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

Posting End Date:

*Job posting may come down early due to volume of applicants.

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, sexual 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, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.