Business Accountability Specialist

Why Wells Fargo: This is where your true career begins. We ranked #2 on the 2023 LinkedIn Top Companies list ? and #1 among financial services companies ? as the best workplace ?to grow your career? in the U.S. At Wells Fargo, we support employees? career aspirations and growth. We?re proud of our employee-welfare-centered business 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 a Business Accountability Specialist in the Chief Operating Office Audit, 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, US: 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. US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration Desired Qualifications: 2+ years of brokerage industry experience 2+ years' experience with brokerage complaints processes. 2 years' experience in Quality Assurance, Operational Risk, or compliance roles Strong analytical skills with ability to draw conclusions and translate findings 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 Job Expectations: This position offers a hybrid work schedule. Maintaining appropriate FINRA license(s) is required for ongoing employment in this position. 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 is 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 CFR 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. @RWF22 Required locations listed: 2710 Pine St. E Bldg. St. Louis, MO 301 S Tryon St. Charlotte, NC 5201 W Amelia Earhart Dr. Salt Lake City, UT Relocation assistance is not available for this position. This position is not eligible for Visa Sponsorship Job posting may come down early due to volume of applicants. 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. 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. Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $1.9 trillion in assets. We provide a diversified set of banking, investment and mortgage products and services, as well as consumer and commercial finance, through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management. Wells Fargo ranked No. 47 on Fortune?s 2023 rankings of America?s largest corporations. In the communities we serve, the company focuses its social impact on building a sustainable, inclusive future for all by supporting housing affordability, small business growth, financial health, and a low-carbon economy News, insights, and perspectives from Wells Fargo are also available at Wells Fargo Stories. Additional information may be found at www.wellsfargo.com LinkedIn: https://www.linkedin.com/company/wellsfargo For questions on how to search and apply, visit our frequently asked questions

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