Risk & Governance Senior Lead - RIA Solutions

Wells Fargo Bank • St Louis, MO

2d

About The Position

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

Requirements

• 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

Nice To Haves

• 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

Responsibilities

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees