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Job Title: Operational Risk Manager / Wholesale Conduct Risk Misconduct Assessment and Management Complaints Manager
Company Name: Wells Fargo
Location: Raleigh, NC
Position Type: Full Time
Post Date: 10/23/2019
Expire Date: 12/01/2019
Job Categories: Accounting/Auditing, Advertising/Marketing/Public Relations, Banking, Finance/Economics, Financial Services, Information Technology, Insurance, Law Enforcement, and Security, Military, Real Estate, Retail/Wholesale, Sales, Executive Management, Research & Development
Job Description
Operational Risk Manager / Wholesale Conduct Risk Misconduct Assessment and Management Complaints 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 prior to 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 want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll 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 Role
The Wholesale Conduct Risk Control organization is responsible for development of conduct risk strategy and the design, implementation, and execution of Wholesale-wide conduct risk controls, with a focus on consistency, transparency, and sustainability, to ensure compliance with regulatory and enterprise expectations, and management of risk within business tolerance.

The leader for the Misconduct Assessment and Management Complaints team is responsible for the design, coordination, surveillance and research of Complaints Management activities within the core Conduct Risk Framework. In this role, the leader will establish strong relationships with critical enterprise partners such as Enterprise Complaints Management Office (ECMO), Wholesale Customer and Team Member Excellence (WCTE), Independent Risk Management (IRM), and the Conduct Management Oversight (CMO) office to ensure that Wholesale Banking is meeting the existing regulatory and enterprise requirements and commitments. In addition the leader with partner with Conduct Risk Control Discipline teams, Business Control leaders, Control Executive Governance & Program teams and business leaders to ensure consistent and high quality facilitation of the Conduct Risk Framework mandates.

Specific responsibilities include:

  • Drive design and implementation of Wholesale front line functions for the assessment and management of Complaints, establishing risk governance practices, documentation, and routines in coordination with key enterprise functions.
  • Support the leveraging of risk analytics and insights capabilities to develop appropriate trending, aggregation and correlation of Complaints management activity outcomes for senior leadership consumption.
  • Develop procedures, guidance and training to ensure comprehensive and timely execution of Complaints management activities across the Wholesale business footprint.
  • Manage relationships and foster a team orientation with risk and business control leaders across Wholesale Control, IRM, Legal, WFAS, and other enterprise functional teams.
  • Cultivate a team approach and partnership ethics with 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 leaders across the Wholesale Control organization and the company in the development and execution of Complaints management strategies. Accordingly, critical success factors will include the ability to develop partnerships with many business and functional areas, provide insight and identify trends which may present opportunities for Complaints management best practices, and provide advisory services to senior leaders.

Preferred locations are Raleigh, Des Moines, Minneapolis, Phoenix, Atlanta, & Portland, but other locations within the WF footprint will be considered.

***Depending on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo Bank.

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

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.

Required Qualifications

  • 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
  • 3+ 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
  • Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Ability to work independently
  • Ability to provide leadership to a matrixed organization environment
  • Ability to lead and operate collaboratively, execution focused, and results oriented

Other Desired Qualifications
  • Demonstrated ability to identify risks and confidently raise issues, escalate early and engage in constructive credible challenge and will do so independently when necessary
  • 8+ years of experience at a full-service financial institution with domestic and international operations, with at least a combination of 4 years in Wholesale Banking, Conduct Risk, Corporate Risk or similar experience
  • Ethical integrity and demonstrated ability to assess and determine when to raise concerns and escalate
  • Proven ability to proactively manage and resolve conflict and effectively defend decisions with objective rationale
  • Demonstrated leadership ability that embodies the Wells Fargo Vision, Values & Goals and leadership competencies while driving stakeholder groups to develop and deliver repeatable end to end risk management solutions and controls aligned with business/customer processes
  • Experience or exposure to internal audit, investigations, complaints management, or similar conduct related activities
  • General knowledge of risk frameworks, corporate/business policies, and programs to translate into plans for the business, function and/or risk type
  • 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 functions
  • Proven ability to build and lead a high performing risk management team engaging a matrixed environment, ensure proper staffing and expertise exists and can coach and enable others in risk management and risk ownership
  • Previous experience in Conduct Risk disciplines, including ethics, sales practices, ABC, internal fraud risk, Employee Relations, Investigations, etc. is desired

Job Expectations

  • Ability to travel up to 25% of the time


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.

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