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Business Functional Manager - Conduct Management Governance

Company: Wells Fargo
Location: Tempe
Posted on: June 16, 2019

Job Description:

Job DescriptionAt Wells Fargo, we want to satisfy our customers financial needs and help them succeed financially. Were looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youll 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.

Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

Conduct Management is the companys front line ethics and allegation management function, responsible for team member experience, end-to-end investigations, and enterprise platform management and reporting. We focus on team member feedback to drive operational excellence in our companys ethics program to ensure that team members are protected and feel comfortable raising concerns.

The Administration Planning and Logistics Team is responsible for establishing and maintaining the governance and operational infrastructure for Conduct Management and providing centralized support and services across the Conduct Management organization to meet our strategic priorities.

The Role

The Conduct Management Governance Leader reports to the Head of Conduct Management Administration, Planning and Logistics. This position will lead a geographically dispersed team to ensure effective execution and operational efficiency for various initiatives. The team is responsible for the following functional areas: Audit and Exam Management, Regulatory Initiatives, Front Line Risk Assessment and Issue Management, and Self Assurance activities.

Leveraging in-depth knowledge of proactively identifying and mitigating risk in front line operations and responding to audit and regulator feedback, this leader will own all Conduct Management Audit and Exam Management, Issue Management, and Front Line Risk Self-Assessment functions across multiple lines of business. He/she will provide leadership to develop sound operating plans that will help Wells Fargo effectively manage conduct-related risk, resolve issues in a timely manner, and deliver against regulatory commitments.

Serving as a subject matter expert and collaborative business partner, this leader will develop strong strategies and partnerships with both internal and external stakeholders to ensure that proactive and thorough identification risks and opportunities in the Front Line. This includes leveraging skills in problem-solving, communication, relationship management, influence, and negotiation to effectively engage partners, lead with a One Wells Fargo view, and proactively identify / mitigate potential risks.

Additional responsibilities:


  • Stand up and lead Governance functions for Conduct Management Administration, Planning and Logistics including Audit and Exam Management, Regulatory Initiatives, Front Line Risk Assessment and Issue Management activities.
  • Provide risk expertise and issue resolution guidance for enterprise programs, projects, and initiatives of the most significant risk across the enterprise to ensure timely resolution
  • Ensure sound risk decisions supporting the Conduct Risk appetite and all risk and compliance program requirements
  • Continually assess the adequacy and effectiveness of conduct activities in accordance with policies, procedures, and regulator expectations.
  • Evaluate key conduct performance indicators
  • Coach, develop and lead team members utilizing the Wells Fargo leadership model and exemplifying the expected leadership behaviors
  • Provide input and thought leadership in development the strategic direction of Wells Fargos Conduct Management function, aligning with enterprise business objectives and Corporate Risk priorities
  • Provide strategic thinking related to enterprise-wide conduct issues
  • Promote a strong team culture consistent with enterprise culture and provide leadership / guidance to leaders, senior managers, and their teams

    Note: Listed locations are preferred, but willing to consider other Wells Fargo hub locations.

    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 one or more of the following functional areas: business process, quality assurance, strategic planning, or project management
      • 6+ years of management experience

        Desired Qualifications

        • Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; and identifying issues resulting from internal and/or external compliance examinations
        • Knowledge and understanding of Shared Risk Platform (SHRP) such as reporting and issue management
        • Strategic planning experience in translating leadership vision into executable strategies and initiatives
        • Ability to influence, partner, and negotiate with senior business leaders to gain commitment to accomplish business goals
        • Outstanding problem solving and analytical skills with ability to turn findings into strategic imperatives
        • Ability to synthesize complex analytical findings into executive level communications

          Other Desired Qualifications


          • Deep understanding of risk framework, corporate/business policies, and programs to translate into plans for the business, function and/or risk type
          • Strong technical knowledge of conduct management approaches / programs and front line risk management
          • Proven ability to grow talent in the organization through effective coaching and skill development
          • Experience providing strategic direction for audit and exam related activities including drafting regulator responses and ensuring the timely completion regulatory initiatives and their corresponding milestones


            Job Expectations

            • Ability to travel up to 25% of the time

              DisclaimerAll 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.

Keywords: Wells Fargo, Phoenix , Business Functional Manager - Conduct Management Governance, Executive , Tempe, Arizona

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