Lead Investment Portfolio Control Consultant

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

Required Qualifications:

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

Desired Qualifications:

• 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

Job Expectations:

• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. FINRA Series 7, 66, and 24 examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. 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 is required
• Specific compliance policies may apply regarding outside activities and/or personal investing; affec