Business Execution Consultant – Registered Principal Product Governance & Business Risk

Wells Fargo•St. Louis, MO

3d•$77,000 - $133,000

About The Position

About this role: Wells Fargo is seeking a Business Execution Consultant to join the Product Governance & Business Risk (PGBR) Team within the Investment Solutions Center of Excellence (IS COE). This individual will act as an appropriately registered principal responsible for reviewing retail communications. The consultant is responsible for reviewing and editing advertising, sales literature, social media, conference calls, and other reports for adherence to firm and regulatory policies. The successful candidate should be familiar with various types of investments such as stocks, bonds, separately managed accounts, mutual funds, exchange traded funds and closed-end funds. In this role, you will: Review, analyze, edit, and approve both internal and external communications to ensure adherence to regulatory requirements, internal guidelines, and other risk-related issues Review material produced by the Investment Solutions Center of Excellence (IS COE). This includes reviewing publications by the Wells Fargo Investment Institute (WFII) including, but not limited to Global Securities Research, Global Manager Research, Global Portfolio Management, and Managed Solutions & Investment Implementation Departments and the Product department within the IS COE including, but not limited to FundSource, Personalized UMA, Private Advisor Network, Mutual Funds, Closed End Funds, Retirement and Annuities Other responsibilities may include executing supervisory procedures; evaluating the adequacy and effectiveness of policies, procedures, and internal controls; and other related duties as assigned Risk project coordination responsibilities Participate in planning and executing a variety of programs, services, and initiatives, and monitor key indicators to ensure effective performance and control management of assigned operations or business groups Review basic initiatives including policy or process changes, process improvements, technology enhancements, and conduct regular reviews to identify efficiencies and cost savings opportunities Receive direction from leaders and exercise independent judgement while developing an understanding of policies and procedures, best practices, and initiatives Collaborate and consult with mid-level managers or cross-functional business partners

Requirements

2+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)

Nice To Haves

Successfully completed FINRA Series 24 examination to qualify for immediate registration (or FINRA recognized equivalents)
Successfully completed FINRA Series 16 examination (Supervisory Analyst) OR FINRA Series 86/87 (Research Principal) to qualify for immediate registration (or FINRA recognized equivalents)
Knowledge of FINRA and SEC Research and advertising rules
Experience with Wells Fargo’s Compliance application (AdTrax)
Conflict management and decision-making skills
Strong negotiation skills
BS in Business, Finance, Economics or related field
Excellent verbal, written, and interpersonal communication skills
Ability to interact with all levels of branch associates and business units
Strong organizational, multi-tasking and prioritizing skills
Strong attention to detail and accuracy skills

Responsibilities

Review, analyze, edit, and approve both internal and external communications to ensure adherence to regulatory requirements, internal guidelines, and other risk-related issues
Review material produced by the Investment Solutions Center of Excellence (IS COE). This includes reviewing publications by the Wells Fargo Investment Institute (WFII) including, but not limited to Global Securities Research, Global Manager Research, Global Portfolio Management, and Managed Solutions & Investment Implementation Departments and the Product department within the IS COE including, but not limited to FundSource, Personalized UMA, Private Advisor Network, Mutual Funds, Closed End Funds, Retirement and Annuities
Executing supervisory procedures
Evaluating the adequacy and effectiveness of policies, procedures, and internal controls
Risk project coordination responsibilities
Participate in planning and executing a variety of programs, services, and initiatives, and monitor key indicators to ensure effective performance and control management of assigned operations or business groups
Review basic initiatives including policy or process changes, process improvements, technology enhancements, and conduct regular reviews to identify efficiencies and cost savings opportunities
Receive direction from leaders and exercise independent judgement while developing an understanding of policies and procedures, best practices, and initiatives
Collaborate and consult with mid-level managers or cross-functional business partners