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Why Wells Fargo:

Are you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader – we’re a global trailblazer committed to driving innovation, empowering communities, and helping our customers succeed.

We believe that a meaningful career is much more than just a job – it’s about finding all of the elements to help you thrive, in one place.

Living the Well Life (https://www.wellsfargojobs.com/en/well-life/) means you’re supported in life, not just work. It means having robust benefits, competitive compensation, and programs designed to help you find work-life balance and well-being. You’ll be rewarded for investing in your community, celebrated for being your authentic self, and empowered to grow. Join us!

About this role:

Wells Fargo is seeking a Business Accountability Specialist in the COO (Chief Operating Office) providing coverage in: Operations, Regulatory and Policy Affairs, Enterprise Customer Excellence, Sales Practices Oversight and Management, and Strategic Execution and Operations. It also includes the Chief Administrative Office, encompassing the Corporate Properties Group, Corporate Security, Enterprise Business Resiliency, Strategic Programs and Process Improvement, Enterprise Change Management, Supply Chain Management, and Data Management and Insights.

In this role, you will:

+ Participate in research, assessment, and documentation of matters relating to the business’ policy and regulatory adherence, risk mitigation, or control efforts; identify patterns and trends and looks for opportunities for procedural or control improvements within area of focus

+ Conduct assessments and analysis of basic business or operational outcomes, systems of record, technical assignments, documentation, procedures, or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment to guide completion of medium risk deliverables

+ Present concise and well-articulated findings and recommendations, including rationale, to facilitate resolution of identified matters; exercise independent judgment while developing expertise in the risk mitigation or control activities of the business

+ Engage in additional research and studies to enhance regulatory knowledge

+ Collaborate and consult with colleagues, internal partners, and other business stakeholders to provide feedback, credibly challenge issues, and calibrate, as needed, to ensure alignment, consistency, and accuracy across groups

+ Participate in cross-organizational or internal operational initiatives and improvement efforts

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

+ Successfully complete FINRA Series 7 to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications:

+ 2+ years of brokerage industry experience

+ Experience with Smart Station, ECMP (Enterprise Complaints Management Platform), and/or ClientLink

+ Experience with one or a combination of Microsoft Office (Word, Excel, Outlook, and PowerPoint)

+ Experience developing partnerships and collaborating with other business and functional areas

+ Excellent verbal, written, and interpersonal communication skills

+ Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Job Expectations:

+ 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. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.

+ This position offers a hybrid work schedule

Relocation assistance is not available for this position:

Locations:

1525 W. WT Harris Blvd Charlotte, NC

6051/6061 N State Hwy 161: Irving, TX

This position is not eligible for Visa Sponsorship

Job posting may come down early due to volume of applicants

Posting End Date:

30 May 2025

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

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees 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 unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-drug-and-alcohol-policy) to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

**Req Number:** R-463097