Business Execution Consultant – Registered Principal Product Governance & Business Risk

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

Required Qualifications:

• 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)

Desired Qualifications:

• 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

Job Expectations:

• Registration for FINRA Series 24 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

• Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.

• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired.