Brokerage Operations- Governance Support Manager

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:

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

WIM serves clients through the following businesses:

o Wells Fargo Private Bank serves high-net-worth individuals and families.
o Abbot Downing serves ultra-high-net-worth individuals and families.
o 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.
o 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 and Abbot Downing, 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 manager of Governance Support & Consulting leads a team of eleven support consultants, including two analytic consultants, that are responsible for a variety of functions for both Brokerage Operations and Wells Fargo Advisors. Responsibilities include, but not all inclusive, End User Computing Tool governance program for Brokerage Operations, Enterprise Data Governance Policy Compliance program for WFA and Brokerage Operations, Governance & Oversight support for WFA and Brokerage Operations (Federal Reserve Bank regulatory reporting), Business Platform Stewardship compliance program for WFA ( business oversight of technology changes). Additionally, this team supports both Brokerage Operations and WFA senior leadership with analysis and guidance related to WFC level regulatory initiatives and new or enhanced policy changes. These support and governance activities are high impact and very visible within the risk and compliance domains of WFC and success is critical to achieving WFC's strategic objectives. The leader role is critical to connecting the team with appropriate leaders and centers of excellence across WFC and within WIM Operations, and WFA; escalation of issues in a timely manner, and providing appropriate guidance for the team of support consultants. And lastly, support and lead Operations process transformation efforts.

As an Employee 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 employees feel included, valued, and supported to do work that energizes them.
• Accomplish management responsibilities which include sourcing and hiring talented employees, providing ongoing coaching and feedback, recognizing and developing employees, identifying and managing risks, and completing daily management tasks.

• 6+ year of experience in one or a combination of the following: business support, project management, implementation, business operations or strategic planning
• 3+ years of management experience

• 2+ years of Big 4 public accounting experience
• Knowledge and understanding of project management methodologies, processes, and tools
• Knowledge and understanding of audit methodologies and tools that support audit processes
• Knowledge and understanding of application testing methodologies, tools, and execution

• Business transformation leadership experience.
• Experience leading a diverse and talented team to successful outcomes across multiple simultaneous engagements
• Working knowledge of multiple risk types including:
  • Transaction Processing and Execution Risk
  • Financial Reporting Risk
  • Data Management Risk
  • Compliance Risk
  • Technology Risk
  • Third-Party Risk
• Ability to identify risks, provide credible challenge and raise issues
• Capable of influencing teams and individuals towards a common goal without having direct authority
• Ability to manage and resolve conflict and defend decisions made with objective rationale
• Track record of successful strategic, analytic and problem solving experiences
• Proven ability to build and maintain strong relationships with key stakeholder groups including executive and senior management, second-line of defense teams and internal auditors
  

• Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, 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 review process at the time of offer acceptance.
• Ability to travel up to 10% of the time

The salary range displayed below is based on a Full-time 40 hour a week schedule.
MO-Saint Louis: Min: $108,900 Mid: $155,500 Max: $202,200

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO

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

Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.