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At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Wholesale Banking provides financial solutions to businesses across the United States and globally. Our four major business lines include Corporate & Investment Banking, Commercial Banking, Commercial Real Estate, and Wells Fargo Commercial Capital. We also have groups in credit risk, group risk, finance, marketing, human relations, and the Wholesale Chief Operating Office that support our businesses.
This is a leadership position within the Wells Fargo Securities (WFS) Client Data and Onboarding team located in Charlotte, NC covering account onboarding processes across business products and functions. This individual will assist in leading the organizational focus on client experience, workflow consistency, and regulatory compliance. This leader will partner with technology to drive forward technology enhancements to implement systematic rules and controls pertaining to pre-account requirements, as well as systematic logic to streamline the obtaining and validation of documents currently housed within WF systems. This person will also engage in key audit, regulatory, project and reporting related initiatives.
Manage development of processes, projects and functions across the various product lines
Lead change initiatives which promote overall process efficiency and effectiveness including changes to operating processes, procedures, and systems to keep a global consistency in service offering
Participate in projects and initiatives to identify, assess, and mitigate risk with business activities
Become proficient on all regulatory, legal, and operational rules/policies impacting client data
Drive consistency of across onboarding and operational practices and procedures
Develop and maintain excellent communication with all stakeholders
Mitigate risks associated to processes and teams within Client Data and Onboarding
Assure compliance with legal, regulatory and internal policy and operational requirement
Documenting process improvements and create, manage action plans
Team members 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.
6+ years of capital markets industry experience
Other Desired Qualifications
Knowledge of MiFID, Brexit regulatory policies
Proficient in their knowledge of the Client Onboarding including regulatory requirements, KYC and Account Maintenance
Familiarity with requirements of BSA / AML programs
Experience partnering with technology and business stakeholders identifying and driving process improvements in complex, institutional banking environment
Series 99 FINRA license
Understanding of key operational risk components, including experience driving consistency and quality across all aspects of a risk function
Ability to understand and work with data, including creating alignment among various data sources, developing trends, and creating risk-based analytics from multiple information sources
Strong communication, negotiation, and collaboration skills, including the ability to negotiate with numerous parties and reach agreeable solutions
Proven ability and experience in being able to look at the big picture across a risk program and implement successful strategy and solutions
Strong organizational skills, budget management, attention to detail, and adherence to strict deadlines in a fast paced environment
Ability to effectively multi-task and successfully work on several unrelated projects at the same time and delivery critical solutions related to regulatory change
4 year BS/BA degree or equivalent experience
Working knowledge of Capital Markets flows (Institutional Securities sales and trading and/or investment banking) in operations, risk management, client service, or compliance/regulatory/legal capacity
Knowledge of MiFID, Dodd Frank, FINRA, Brexit and other key regulatory policies and rules
Experience working with large volumes of data
Experience with Broadridge, Calypso, and SalesForce applications
Experience with middle office functions and key concepts of settlements, trade matching, and reporting
NC-Charlotte: 301 S Tryon St - Charlotte, NC
All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women. Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.
Internal Number: 5549759
About Wells Fargo
Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Wells Fargo’s vision is to satisfy our customers’ financial needs and help them succeed financially. Founded in 1852 and headquartered in San Francisco, Wells Fargo provides banking, investment and mortgage products and services, as well as consumer and commercial finance, through 7,400 locations, more than 13,000 ATMs, the internet (wellsfargo.com) and mobile banking, and has offices in 32 countries and territories to support customers who conduct business in the global economy. With approximately 260,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 29 on Fortune’s 2019 rankings of America’s largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.
www.wellsfargo.com | Twitter: @WellsFargo