• Wells Fargo
  • $95,750.00 -202,760.00/year*
  • Minneapolis , MN
  • Financial Services - Banking/Investment/Finance
  • Full-Time


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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.



*Wealth and Investment Management (WIM)* businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, and both individual and institutional retirement.



As the front-line risk management organization for Wealth & Investment Management, WIM Control is accountable for the strategic development, management and oversight of the control environment across WIM's business lines, implemented through partnership with business and corporate function leaders. As part of WIM Control, WIM Financial Crimes Risk & Control (WIM FCRC) is responsible for ensuring WIM businesses are in compliance with all applicable regulations, laws, and corporate policies related to Anti-Money Laundering, Bank Secrecy Act, International Economic Sanctions, and Anti-Bribery and Corruption. WIM FCRC ensures Financial Crimes controls are effectively designed and executed in line with WIM's risk tolerance.



WIM FCRC has an exciting opportunity to join its High Risk Customer Leadership Team. The successful candidate will help lead the expansion of existing financial crimes operational functions including Enhanced Due Diligence (EDD) and Ongoing Enhanced Due Diligence (ODD). The High Risk Client (EDD) Team Manager will be responsible for the delivery of exceptional standards of client service to WIM business lines and channels, with a focus on Wells Fargo Advisors, and will ensure that all internal Service Level Agreements, standards, regulatory requirements, and expectations associated with the Bank Secrecy Act, USA PATRIOT Act, and Economic Sanctions laws and regulations are met.



Key Roles & Responsibilities:



* Providing collaborative guidance, direction, and coaching to members of the High Risk Client Team

* Providing oversight and quality assurance during the execution of all high risk client related processes

* Monitoring team productivity in accordance with regulatory expectations and Firm's best practices

* Assisting with the management of regulatory examinations and inquiries, and internal audits of assigned activities

* Identifying deficiencies and ensuring that escalated issues are promptly addressed and resolved

* Participating in and providing risk consulting and support for projects and initiatives to identify and mitigate regulatory risk in business activities

* Assisting in the coordination of site, agency or other examinations conducted by external parties

* Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations

* Employing process improvements and identifying training opportunities by providing input in the development of training materials and training delivery

* Coordinating production of periodic compliance performance reports for senior management, including trend analysis and recommendations

* Providing credible challenges to existing processes, procedures and delivery channels



WIM's Operational Risk Manager must have the ability to effectively manage, lead and develop a staff of AML Risk professionals. He/she must also work with other Risk functions and key stakeholders in business units and internal support groups across the organization in order to successfully collaborate on AML Risk projects and initiatives that are large and complex in scope and impact. The ideal candidate must have the ability to successfully manage competing priorities in a high-pressure deadline driven environment, and must be able to effectively navigate a highly-matrixed organizational structure in order to identify, build and maintain key relationships.





Required Qualifications:



* 6+ 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 6+ 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

* 2+ years of management experience, or 3+ years of leadership 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

* Certified Anti Money Laundering Specialist (CAMS)

* FINRA registration including Series 7 (or FINRA recognized equivalents)

* Strong relationship management skills

* Leadership skills including; coaching, training, and mentoring

* Ability to take initiative and work independently with minimal supervision in a structured environment





How to Express Interest in This Job: Wells Fargo invites you to apply for this job at







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.



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.
Associated topics: broker, brokerage, commodities, derivatives, dow jones, equity, ira, market, risk, securities broker

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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