Business Accountability Specialist – WIM Trading Order Room

About this role:

Wells Fargo is seeking a Business Accountability Specialist for the Wealth & Investment Management (WIM) Trading Order Room.  The role is primarily responsible for accurate placement, reconciliation, and ongoing oversight of security‑level trading restrictions that govern electronic order acceptance and routing across firm order entry and trading systems. This role ensures that restricted securities are applied timely and correctly in accordance with regulatory requirements, internal policies, and compliance directives to prevent unauthorized trading activity.  Additionally, this role will also require in depth knowledge of equity and options order origination, entry, routing, and execution.

In this role, you will:

• Maintain deep expertise in all security‑level restriction types, including the rationale behind each, and ensure accurate, timely entry and consistent application across all firm systems.
• Develop strong knowledge of order entry and restriction related system functionality, dependencies, and downstream impacts.
• Perform ongoing reconciliation and monitoring of restrictions across platforms to ensure control effectiveness, including identifying overrides, bypasses, stale restrictions, and potential control gaps.
• Execute robust QA reviews on new and modified restrictions using standardized validation routines and support periodic control testing and operational risk assessments aligned with regulatory and firm expectations.
• Create, maintain, and enforce clear procedures and documentation covering restriction types, entry standards, effective dates, scope, authority/source, escalation paths, and operational controls.
• Serve as a subject‑matter point of contact for real time FA support related to order entry and security restrictions.
• Demonstrate strong understanding of equity and options order origination, validation, routing, and execution, and monitor order activity to ensure proper handling within firm systems.
• Partner with technology and compliance teams to troubleshoot issues with electronic order handling and restrictions.  Perform root‑cause analysis, and recommend process, control, or system enhancements.

Required Qualifications:

• 2+ 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:

• Experience working with security‑level trading restrictions, pre‑trade risk controls, or restricted list management.
• In‑depth knowledge of order entry, electronic order handling, and trading workflows.
• Ability to understand and troubleshoot system behavior and control logic, including restriction hierarchies, rule precedence, and cross‑system dependencies.
• Strong track record of accurate data entry and control execution in high‑risk, high‑visibility operational environments.
• Strong analytical skills to assess unintended impacts of restrictions and recommend corrective or preventive actions.
• Strong verbal and written communication skills, with the ability to clearly explain restriction behavior and rationale to diverse audiences
• Demonstrated experience identifying opportunities for process enhancements, automation, and control strengthening.
• High level of integrity, accountability, and risk awareness

Job Expectations:

• Specific compliance policies may apply regarding outside activities and/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. Information will be shared about expectations during the recruitment process.
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• This position is not eligible for Visa sponsorship.

Posting Locations:

• 2801 Market Street – Saint Louis, MO 63103
• 550 S Tryon Street – Charlotte, NC 28202
• Required location listed above. Relocation assistance is not available for this position.

Posting End Date: 

19 Apr 2026

*Job posting may come down early due to volume of applicants.