Business Aligned Supervisory Officer – Cross Products, Associate (Two Roles)

About this role:

Wells Fargo Corporate and Investment Banking (CIB) Markets COO division is seeking an Associate to join the CIB Markets Business Aligned Supervisory Support (BASS) team.  This position will require basic trading product knowledge to provide expertise to key aspects of the bank’s controls and trade surveillance framework within the First Line business.  The successful candidate will work closely other BASS team members, Line of Business supervisors, Business Controls and COO teams as well as other support functions (e.g., Compliance, Testing, Audit, Risk, Operations, Technology, Legal, and Human Resources). Their goal will be to help the Designated Supervisors to be more efficient and effective by ensuring that there is a sound supervisory framework in supervision coverage, and the program is in compliance with applicable rules, regulations, and industry best practices. 

In this role, you will:

• Lead or participate in moderately complex initiatives and deliverables within business and contribute to large-scale, cross-functional planning related to mitigation of current and emerging business risk issues and concerns
• Assess, analyze, and design moderately complex controls, protocols, and approaches with respect to risk mitigation and the control environment, including ensuring effective planning for sustainability, ongoing control adherence, reporting, measurement, technology impacts, and monitoring
• Independently make decisions and resolve moderately complex issues while leveraging solid understanding of the business’s functional area or products, operations, and regulatory environment; facilitate decision-making and issue resolution, and support implementation of developed solutions and plans; lead peers and key business partners to meet deliverables and drive new initiatives
• Collaborate and consult with peers, colleagues, and mid-level managers to address current and emerging risks associated with business activities and operations, and provide guidance or support in interpreting, developing, and implementing risk-mitigating strategies
• Partner with peers and the business in interactions with external parties to support appropriateness and timeliness of response, and effectiveness of communications and materials
• May serve as a mentor for lower-level staff

Required Qualifications:

• 4+ 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:

• A BS/BA degree or higher
• Trading/product knowledge
• Understanding of applicable rules and regulations across specific Sales and Trading business, including Volcker and Regulation W
• Knowledge of supervision, supervisory programs, role of a supervisor, obligations of a supervisory delegate and risks associated with such.
• Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner.
• Self-starter with ability to multitask, manage competing priorities, and effectively lead in a dynamic environment.
• Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner.
• Strong attention to detail and high quality standard for work.
• Commitment to provide timely and accurate guidance to FLU with strong ability to influence when needed.
• Inquisitive and proactive mindset with the ability to think creatively to solve problems and anticipate potential questions and issues.
• Experience handling highly sensitive and confidential information utilizing sound judgement.
• FINRA Series 7, 24 & 63 licenses preferred but not a pre-requisite.  Must be willing to obtain in a timely manner.

Job Expectations:

• Ability to travel up to 10%

• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 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.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.