Business Aligned Supervisory Officer – Regulations, Executive Director (One Role)

About this role:

Wells Fargo is seeking a manager at the Executive Director level to provide leadership and management covering prudential regulations, including Volcker and Regulation W. This position will require deep product knowledge to provide expertise to key aspects of the bank’s controls within the First Line. 

In this role, you will:

• Manage and develop teams of specialists and managers to oversee moderate to highly complex activities associated with the development and implementation of business-specific programs, processes, and controls which identify, assess, monitor, measure, and mitigate risk
• Identify and recommend opportunities for process improvement, risk mitigation, and control strategies
• Determine appropriate strategies and actions, interpret and develop policies and procedures, and provide leadership to strategize and execute a variety of programs, services, initiatives, protocols, and deliverables that are moderate to high-risk within scope of responsibility
• Collaborate with and influence all levels of professionals including senior managers
• Engage and influence business heads, regulators, control management, risk, legal, and audit partners to successfully ensure appropriate management of business risk
• Develop and guide a culture of talent development to meet business objectives and strategy

Required Qualifications:

• 6+ years of risk management, business controls, or compliance experience, or equivalent demonstrated through one or a combination of the following:  work experience, training, military experience, education
• 3+ years of management or leadership experience

Desired Qualifications:

• 6+ years of industry experience in Trading, Controls or Compliance.
• A BS/BA degree or higher.
• Ability to demonstrate in-depth trading/product knowledge.
• Understanding of prudential regulations, including Volcker and Regulation W across specific Sales and Trading business.
• In-depth 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.

$144,400.00 - $300,000.00

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

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