Lead Investment Portfolio Control Consultant

Wells Fargo & Company • St. Louis, MO

3d

About The Position

About this role: The WIM Investment Solutions Center of Excellence (IS COE) is looking for a Lead Investment Portfolio Control Consultant in the FA Directed Portfolio Analysis (FADPA) team. The FADPA team is responsible for monitoring of investment performance of Advisors that have discretion and a fiduciary responsibility. This group also provides portfolio analytics support to Advisors seeking analytics and assistance. The team is responsible for partnering with the relevant business group across the Wells Fargo Advisors (WFA) organization to identify, assess, manage and mitigate current and emerging investment risk. This role collaborates with Senior Consultants, Financial Advisors, and Account Oversight Team. Responsibilities include supporting Financial Advisors in the required resolution processes of select client accounts. This role leverages sophisticated third-party tools and internal reporting to provide guidance on investment portfolio risk and performance. Learn more about the career areas and lines of business at wellsfargojobs.com In this role, you will: Produces daily, monthly, quarterly and annual investment risk reports for Sr. Management. Utilizes multiple complex data sources; complies and mines sources to achieve data needs for analyses. Lead or partner with the relevant business groups to identify, assess, manage and mitigate current and emerging investment risk with broad impact Provide input into complex investment processes and governance Propose investment risk limits and resolution as needed Make decisions to resolve complex issues requiring strong understanding of the function, policies, procedures and compliance requirements Strategically collaborate and consult with peers, colleagues and mid-level to senior managers to resolve issues and achieve goals Potentially lead projects, teams or serve as a peer mentor

Requirements

• 5+ years of investment portfolio control experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Nice To Haves

• 5+ years of Investment acumen and Investment risk experience
• FINRA registration including Series 7 (or FINRA recognized equivalents)
• FINRA registration including Series 66 (or FINRA recognized equivalents)
• FINRA registration including Series 24 (or FINRA recognized equivalents)
• Demonstrated leadership on cross-functional business initiatives as well as leading small working groups.
• Broad experience working with other departments in the firm including Product Management, compliance, operations, business control, EIT, supervision etc.
• Ability to prioritize work, meet deadlines, achieve goals and work under pressure in a dynamic and complex environment
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy
• Experience implementing policies and procedures, oversight of controls, and conducting Qualified Supervisor tasks.
• Experience leading projects with third party vendors such as Blackrock Aladdin or FactSet
• BS/BA degree or higher in accounting or finance, computer science, engineering or other scientific background
• Project Management Certificate
• Intermediate Microsoft Excel skills

Responsibilities

• Produces daily, monthly, quarterly and annual investment risk reports for Sr. Management.
• Utilizes multiple complex data sources; complies and mines sources to achieve data needs for analyses.
• Lead or partner with the relevant business groups to identify, assess, manage and mitigate current and emerging investment risk with broad impact
• Provide input into complex investment processes and governance
• Propose investment risk limits and resolution as needed
• Make decisions to resolve complex issues requiring strong understanding of the function, policies, procedures and compliance requirements
• Strategically collaborate and consult with peers, colleagues and mid-level to senior managers to resolve issues and achieve goals
• Potentially lead projects, teams or serve as a peer mentor

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees