Manager - Operational Risk & Control - Investment Banking Captives

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:

- 4+ 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.

Desired Qualifications:

- Responsibility for ensuring the Wells Fargo's periodic certification of its population of certified, licensed, and registered employees. Including ensuring documentation is provided in a timely manner.

- Responsibility for the execution of key controls in relation to the management and maintenance of licensed and registered individuals under International Accountability regimes is adhered to.

- Contribute to compliance with International Accountability regimes.

- Work with relevant stakeholders to ensure that all relevant Accountability regimes procedural documentation and requirements are met and remain up to date.

- Perform reconciliations of the certified, licensed, and registered employees to ensure the population is accurate and up to date across internal and external registers.

- Track the end-to-end processes for regulatory applications and notifications.

- Ensure the relevant controls are executed to the required standards and support the risk assessments in the performance of these controls.

- Ensure that documents are stored in accordance with record retention requirements and in a secure drive.

- Produce management information for oversight in relation to International Accountability Regimes.

- Execute the required Management Information, including data gathering, analysis and reporting to support Conduct oversight within International, including the legal entity reporting requirements.

- Support the maintenance and enhancement of the control design and process of International Accountability Regimes.

Job Expectations:

- Highly organised with demonstrable project management skills.

- Unquestionable ethics. High level of discretion on sensitive and confidential matters.

- Strong communication skills, both verbal and written.

- Strong relationship building skills and ability to work within a local and International team.