Corporate & Investment Banking (CIB) delivers a comprehensive suite of banking, capital markets and advisory solutions, including a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with consideration and respect for their total relationship with Wells Fargo.

The Chief Operating Office (COO) supports the business by delivering platforms, processes and systems across a wide range of disciplines. This includes LOB business management, business solutions & enablement, client lifecycle management, data management, strategy & transformation, and innovation.

About this role:

Wells Fargo is seeking a Lead Regulated Records Consultant (Vice President level) in Strategic Execution as part of Corporate & Investment Banking.  Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Act as the subject matter expert for Records Management and Regulated Records Management
• Work with other members of the CIB Books and Records team to inventory records to ensure they are compliant with retention requirements and regulatory record-keeping requirements.
• Provide guidance and support for Information Owners in the management of their records
• Identify concerns and issues with record retention, and regulatory record-keeping and proactively lead remediation efforts to resolve
• Work with control groups and other key stakeholder groups to identify and assess information management risk. Lead the work required to mitigate this risk
• Connect with the Regulated Records Coordinator, Group Records Coordinator, Information Management Office and other stakeholders in the Wells Fargo records community to build the understanding and alignment of records management requirements and how these requirements are met through global programs
• Drive/coordinate global records management initiatives as required.
• Perform assessments through fact finding and data requiring creative approaches to solving complex issues, and develop appropriate solutions or recommendations
• Make decisions in highly complex and multifaceted situations requiring solid understanding of business group's functional area or products, facilitate decision making and issue resolution, and support implementation of developed solutions and plans
• Collaborate and consult with members of the Business Execution team and team leaders to drive strategic initiatives
• Influence, guide and lead less experienced Strategy and Execution staff within the group

Required Qualifications, US:

• 5+ 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

Desired Qualifications:

• 5+ years in Records Management or related Control Management function in a financial services firm
• Comprehensive knowledge of regulatory requirements within US for records management (e.g., SEC and CFTC record-keeping requirements)
• Knowledge and understanding of Records Management regulations
• Working knowledge of industry-standard records management platforms
• Ability to articulate complex concepts in a clear manner
• Strong analytical skills with high attention to detail and accuracy
• Familiarity in working within regional teams and global governance models
• Strong partnering and collaboration skills
• Financial Services industry experience
• Advanced Microsoft Office skills (Outlook, Word, Excel, PowerPoint)
• FINRA SIE/Series 99 Certification
• Records Management Certification

Job Expectations:

• This role is not eligible for VISA sponsorship
• Ability to travel as needed
• Willingness to work on-site in accordance with current office requirements
• Ability to work additional hours as needed
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Posting address:

550 S. Tryon, Charlotte, NC 28202

Salary details:

$119,000-$187,000

Posting End Date: 

*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.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our 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.