Conduct Risk Management (Sr Lead Control Management Officer)

About this role:

Wells Fargo is seeking a Senior Lead Control Management Officer (Corporate Title: Executive Director) for the Chief Operating Office (COO) Front Line Conduct team. This role reports to the COO Front Line Conduct Leader (FLCL) and is senior professional responsible for a front line conduct oversight function for risk generated by the aligned businesses. This person will partner with the business in the COO for Conduct related risk: policy and program adherence, assessments, monitoring, issue identification, reporting and data analysis, and identifying emerging risks during its business activities.

This role requires coordination and partnership across COO leadership teams as well as the associated enterprise teams to develop programs, procedures for implementation of conduct related policies. This position will understand the front-line requirements of all enterprise conduct-related risk management and oversight programs as set forth by Conduct Management. This currently includes:

• Allegations Management
• Significant Events
• Sales Practices
• Insider Threat
• Gift and Entertainment
• Conflicts of Interest
• Fraud Risk

In this role, you will:

• Act as an advisor to more experienced leaders in developing risk mitigation strategies for complex and highly integrated business specific risk across different business lines
• Monitor, measure, evaluate, and report impact of decisions and business controls to the relevant business group and enterprise function
• Lead the strategy and resolution of highly complex current and emerging risks requiring in depth evaluation across multiple areas or the enterprise, as well as good understanding of financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, and business process management
• Provide vision, direction, and expertise to more experienced leaders on implementing innovative and significant business solutions for highly complex risks associated with business operations
• Lead and mentor Control Management project or virtual teams
• Engage with all levels of roles across the business group, and serve as an experienced advisor in designing and implementing risk mitigation strategies, business processes, and controls that mitigate risks and address regulatory requirements

Required Qualifications:

7+ 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:

• Success in developing a vision, purpose and direction and demonstrated success in carrying it forward as a visible leader.
• Experienced in data analytics including creating executive-level reporting, data visualizations, data analytics, problem solving and exploration.
• Organizational Awareness - Having and using knowledge of systems, situations, pressures, and culture within the company to identify potential organizational problems and opportunities; perceive the impact and the implications of decisions on other components of the company as well as the impact on investors, customers, and clients.
• Superior collaboration and relationship building
• A respected partner who adds value to the broader team.
• Ability to perform effectively in an ever-evolving environment and successfully address multiple, high-priority matters.
• Ability to identify risk factors and ensure enactment of appropriate controls.
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Superior writing and executive-level communication skills
• Advanced Microsoft Office (Outlook, Excel, Word, PowerPoint, Skype, and SharePoint) skills. Power BI and Tableau a plus.
• Advanced knowledge and understanding of risk management.
• Experienced in data analytics including creating data visualizations, data analytics, problem solving and exploration.
• Experience determining and investigating the root cause of identified issues.
• Superior organizational, multi-tasking, and prioritizing skills

Job Expectations:Serve as a Front Line Conduct Leader contact for the COO businesses with coverage for all of the oversight programs including allegations, sales practices, internal fraud, ethics, insider threat. Additionally, this partner will be identified as a credible partner and valued asset to the line of business as the subject matter expert on all Conduct programs and drive mitigation discussions with the COO businesses.

• Proactively manage and resolve conflict and effectively defend decisions with objective rationale.
• Analyze and monitor conduct risk data and metrics for boundary triggers, concerning trends, and anomalies and potential issues.
• Participate in the development, facilitation, and governance of COO Front Line Conduct team meetings and councils.
• Participate in the development of allegations, ethics, insider threat, gifts and entertainment and sales practices related policies, procedures, job aids and control plans.
• Lead complex initiatives designed to mitigate current and emerging risks with broad impact.
• 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.
• Mid-Shift (typically 4pm star of shift)
• Follows PH Holidays & Weekends Off
• Currently on Hybrid Set Up (3/week onsite)

Posting End Date:
22 Dec 2024
*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.

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.

Applicants with Disabilities

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

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

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a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.