About this role:

Wells Fargo is seeking a Risk & Governance Senior Lead to join the RIA Solutions’ Risk, Governance & Administration team within Wealth and Investment Management. The team is focused on achieving a strategic initiative by developing and bringing to life a new business within this line of business. This role will support the development and execution of control-related processes centralized within the business, while also providing input into channel-wide strategic planning as the channel matures. The ideal candidate will be a problem solver with strong brokerage knowledge, risk management experience, and expertise in risk process design and execution.

In this role, you will:

• Drive the development, implementation and execution of centralized control processes including

  • RIA and Fintech Diligence

  • Financial Crimes Engagement

  • Trade Control Administration

  • Fraud Management

• Assess on-going operational needs and provide recommended solutions using your experience and subject matter expertise

• Collaborate, consult with and influence peers, colleagues, managers and other partners to achieve goals

• Serve as an advocate for the channel and its on-going evolution in various risk, governance and compliance forums

• Provide effective communication and exceptional understanding of the line of business and the platform that will represent its core capabilities and product offerings

• ​Act as liaison for the business with external parties to support risk management activities

Required Qualifications:

• 7+ 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

Desired Qualifications:

• 6+ years of brokerage operations, control, or risk experience

• Ability to analyze and solve complex problems and identify customer-centric solutions to minimize risk and ensure on-going compliance

• Knowledge and understanding of core capabilities including New Account Opening and Maintenance, Asset Movement, Trading, and Client Correspondence

• Knowledge and understanding of risk identification and assessment within an Operational Risk Framework

• Knowledge and understanding of the Broker/Dealer regulatory environment

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

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

• Strong verbal, written, and interpersonal communication skills

Job Expectations:

• Follow enterprise and business specific guidelines related to in-person office work schedule.

• ​This position is not eligible for Visa sponsorship

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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

• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process

Posting End Date:

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

We Value Equal Opportunity

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.

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 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 Recruitment and Hiring Requirements:

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.