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Conduct Risk Control Issues Management & Escalations Leader (Operational Risk Manager 4)

Company: Wells Fargo
Location: Charlotte
Posted on: March 18, 2019

Job Description:

Job DescriptionAt Wells Fargo, we want to satisfy our customers financial needs and help them succeed financially. Were looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youll feel valued and inspired to contribute your unique skills and experience.

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

Wholesale Banking provides financial solutions to businesses across the United States and globally. Our four major business lines include Corporate & Investment Banking, Commercial Banking, Commercial Real Estate, and Wells Fargo Commercial Capital. We also have groups in credit risk, group risk, finance, marketing, human relations, and the Wholesale Chief Operating Office that support our businesses.

The Wholesale Control (WC) organization serves as the front line risk management organization within the Wholesale Banking group of Wells Fargo supporting the Wholesale businesses with risk strategy, implementation, and execution. The Wholesale Control team is accountable to assess and effectively manage risks across all risk types and Wholesale businesses delivering an integrated view of risks, producing a sustainable control environment, and instilling a culture of strong risk management. The team is responsible to identify and assess risks, design and implement controls, and execute and monitor the controls to ensure they are working effectively to manage risk across Wholesale. Wholesale Control interfaces with Independent Risk Management and Audit to drive comprehensive and consistent implementation of regulatory and corporate risk policies and programs across Wholesale.

The Wholesale Conduct Risk Control group is responsible for risk strategy and implementation of Wholesale-wide conduct risk programs and controls promoting consistency, efficiency, and sustainability of processes to meet regulatory, enterprise, and group risk expectations.

The leader for the Conduct Risk Control Program Management group is responsible for governance and execution of front line risk management program activities consistent with frameworks and policies established by Independent Risk Management (IRM) in coordination with Conduct Risk Control discipline teams (Ethics & ABC, sales Practices, Internal Fraud, etc.), Business Control leaders, and Control Executive Governance & Programs team. Activities include overseeing issue management and escalation (SHRP, issues tracking, root cause, risk ID/RCSA maintenance, corrective action, escalation).

Additional responsibilities include:



  • Conduct risk governance activities in alignment with the Wholesale Control and IRM requirements
  • Ensure effective issue management and escalation, including timely issue escalation, prompt and thorough issue remediation, accurate corrective action tracking and reporting, and consistency of approach
  • Maintain a holistic view of conduct risks and issues across Wholesale and ensure that business issues are proactively identified, addressed appropriately, measured and escalated (when necessary)
  • Work with Issues Management COE to coordinate SHRP management, maintenance, and administration
  • Team leadership and development. Cultivate key team approach and partnership ethic through senior managers and their teams. Ensure team is meeting risk management objectives in line with required policies and procedures.

    The successful candidate will work closely with senior leaders across the Wholesale Control organization and the company in the development and execution of company risk management strategies. Accordingly, critical success factors will include the ability to develop partnerships with many business and functional areas, provide insight into the economic climate and related market developments and identify trends which may present opportunities or reflect gaps in the Companys risk management execution/direction.

    Leadership, integrity, and credibility will be determining factors in selection. Successful candidates will be articulate and possess a demonstrated leadership capability; they will be impressive in their inter-personal effectiveness and with regard to their accomplishments. It requires a leader with strong relationship management, influencing, vision and execution skills. A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment. The role requires a sense of urgency, passion for results, and personal accountability for achievement.

    As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:
  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

    Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business units risk appetite and all risk and compliance program requirements.Required Qualifications





    • 10+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ years must include direct experience in compliance, operational risk management, or a combination of both
    • 5+ years of management experience

      Desired Qualifications

      • Advanced Microsoft Office skills
      • Excellent verbal, written, and interpersonal communication skills
      • Strong analytical skills with high attention to detail and accuracy
      • Ability to articulate complex concepts in a clear manner

        Other Desired Qualifications--- 5+ years of experience at a full-service financial institution with domestic and international operations, with at least 5 years in Wholesale Banking or similar experience



        • Be a culture carrier in helping to lead efforts across Wholesale to strengthen our risk culture
        • Previous experience in Conduct Risk, including ethics, sales practices, ABC, and internal fraud risk
        • Meaningful knowledge across risk framework, corporate/business policies, and programs to translate into plans for the business, function and/or risk type
        • Understanding of best-practice risk management techniques across financial services industry
        • Strong interpersonal, influencing, and communications skills with an ability to interact effectively with stakeholders and regulators, to include virtual, matrixed leadership experience and the ability to effectively manage and build relationships within the business and enterprise Risk function
        • Proven leadership and project management skills to drive alignment across stakeholder groups to develop and deliver repeatable end to end risk management solutions and controls aligned with business/customer processes
        • Demonstrated leadership ability that embodies the Wells Fargo Vision, Values & Goals and leadership competencies
        • Ethical integrity and demonstrated ability to assess and determine when to raise concerns and escalate
        • Proven ability to build and lead high performing risk management organization in a matrixed environment, ensure proper staffing and expertise exists and can coach and enable others in risk management and risk ownership
        • Strong analytical ability used to identify risks and confidently raise issues, escalate early and engage in constructive credible challenge and will do so independently when necessary
        • Proven ability to proactively manage and resolve conflict and effectively defend decisions with objective rationaleDisclaimerAll 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.

          Keywords: Wells Fargo, Charlotte , Conduct Risk Control Issues Management & Escalations Leader (Operational Risk Manager 4), Accounting, Auditing , Charlotte, North Carolina

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