Business Risk & Control Sr Associate

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Job description

Job Description

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application.

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth & Investment Management, or WIM, is one of the United States' leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients' unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by:

• Building enduring client relationships through sound, thoughtful, and objective advice
• Developing individualized plans for clients to help meet their financial objectives
• Helping clients build, manage, preserve, and transition their financial resources and wealth

WIM serves clients through the following businesses:

• Wells Fargo Private Bank serves high-net-worth individuals and families.
• Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers.
• Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide.

Through Wells Fargo Private Bank, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.

The Senior Associate supports the development, implementation, and monitoring of ongoing fiduciary controls for the Wells Fargo Investment Management's Trust Services.

General areas of focus include portfolio investment risk management, client investment restriction adherence, investment management policies and procedures, securities commission oversight, best execution trade monitoring, and counterparty credit risk management.

The Senior Associate will lead risk based projects within the Wells Fargo issue management framework, owning personal accountability for deliverables impacting the business line in general.

Additional ongoing duties include risk consultation in support of investment managers, trade and risk systems QA, account and transaction data analysis, and support of internal/external testing reviews.

Required Qualifications

• 5+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management demonstrated through work or military experience

Desired Qualifications

• Trust experience
• Fiduciary experience

Other Desired Qualifications

• Familiarity with Fiduciary standards and principles as applied to discretionary investment management.
• Experience designing, implementing, and monitoring risk based controls related to investment management.
• Experience leading projects, conducting Familiarity with Fiduciary standards and principles as applied to discretionary investment management.
• Experience with trust governing instruments, state specific statutes governing investment restrictions, and client investment restrictions
• Knowledge of Investment Policy Statements, investment authority, and investment objectives
• Broad knowledge of tradeable securities types including fixed income, equities, and alternative assets.
• Securities Order Entry Experience
• Experience Administrating Accounts within the Trust and Fiduciary Investment Management Framework
• Experience managing assets or supporting investment management functions
• Ability to read and write SQL Code
• Knowledge of fundamentals of securities performance tracking

Disclaimer

All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.



Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Benefits Summary

Benefits

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