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Wells Fargo · 23 hours ago

Business Execution Consultant - Registered Principal Product Governance & Business Risk

Charlotte, NC

Full-time

Onsite

Entry, Mid Level

$77K/yr - $133K/yr

2+ years exp

Wells Fargo is seeking a Business Execution Consultant to join the Product Governance & Business Risk (PGBR) Team within the Investment Solutions Center of Excellence. The consultant will be responsible for reviewing and editing retail communications to ensure adherence to regulatory policies and will coordinate risk projects while collaborating with various business partners.

BankingFinancial ServicesFinTechInsurancePayments

No H1B

Responsibilities

Review, analyze, edit, and approve both internal and external communications to ensure adherence to regulatory requirements, internal guidelines, and other risk-related issues

Review material produced by the Investment Solutions Center of Excellence (IS COE). This includes reviewing publications by the Wells Fargo Investment Institute (WFII) including, but not limited to Global Securities Research, Global Manager Research, Global Portfolio Management, and Managed Solutions & Investment Implementation Departments and the Product department within the IS COE including, but not limited to FundSource, Personalized UMA, Private Advisor Network, Mutual Funds, Closed End Funds, Retirement and Annuities

Other responsibilities may include executing supervisory procedures; evaluating the adequacy and effectiveness of policies, procedures, and internal controls; and other related duties as assigned

Risk project coordination responsibilities

Participate in planning and executing a variety of programs, services, and initiatives, and monitor key indicators to ensure effective performance and control management of assigned operations or business groups

Review basic initiatives including policy or process changes, process improvements, technology enhancements, and conduct regular reviews to identify efficiencies and cost savings opportunities

Receive direction from leaders and exercise independent judgement while developing an understanding of policies and procedures, best practices, and initiatives

Collaborate and consult with mid-level managers or cross-functional business partners

Qualification

FINRA Series 7FINRA Series 24FINRA Series 16FINRA rulesWells Fargo Compliance applicationConflict managementDecision-making skillsNegotiation skillsCommunication skillsOrganizational skillsAttention to detail

Required

2+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)

Preferred

Successfully completed FINRA Series 24 examination to qualify for immediate registration (or FINRA recognized equivalents)

Successfully completed FINRA Series 16 examination (Supervisory Analyst) OR FINRA Series 86/87 (Research Principal) to qualify for immediate registration (or FINRA recognized equivalents)

Knowledge of FINRA and SEC Research and advertising rules

Experience with Wells Fargo's Compliance application (AdTrax)

Conflict management and decision-making skills

Strong negotiation skills

BS in Business, Finance, Economics or related field

Excellent verbal, written, and interpersonal communication skills

Ability to interact with all levels of branch associates and business units

Strong organizational, multi-tasking and prioritizing skills

Strong attention to detail and accuracy skills