Business Execution Consultant

About this role:

Wells Fargo is seeking a Business Execution Consultant to join our Policy and Branch Support (PBS) team within Wealth and Investment Management. The Policy and Branch Support (PBS) team plays a critical role in addressing business risk-related questions and providing guidance on complex policy and operational procedures.

The Business Execution Consultant will be responsible for responding to escalated inquiries from branch office management and home office stakeholders on complex policy and customer issues and identifying trends and areas for improvement raised by those inquiries. The Business Execution Consultant is motivated, highly organized, able to spot issues and propose solutions and is generally familiar with retail brokerage policies and operational procedures.

In this role, you will:

• Respond to escalations from Wells Fargo Advisors (WFA) Retail Supervisors and Governance leaders around brokerage policy and customer account issues, including issues relating to account opening, changes in account documentation, account distributions, and other complex account and policy related issues.

• Participate in a variety of assigned and ongoing business operations to ensure success in meeting business goals and objectives

• Identify opportunities for process improvement by analyzing data and trends presented by escalated inquiries to PBS

• Determine areas of strength or Business Execution opportunity within defined scope of work

• Review and research strategies and action plans to establish effective processes while meeting performance metrics and policy expectations

• Utilize independent judgment to guide moderate risk deliverables

• Present recommendations to develop, implement, and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business

• Exercise independent judgment and provide guidance in diverse support functions and operations for a single business group within a line of business

• Collaborate and consult with leaders and executive management

• Provide work direction to less experienced Strategy and Execution staff

Required Qualifications:

• 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

Desired Qualifications:

• Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules

• Knowledge and understanding of brokerage industry: products, services, operational policies, and procedures

• Knowledge and understanding of compliance and legal requirements: protecting customers and fraud risk 

• Ability to manage a high volume of inquiries

• Ability to research, analyze, and determine a course of action for financial transactions

• Ability to read correspondence accurately and be able to provide a clear and concise written response

• Excellent, written, verbal, communication, and interpersonal

• Outstanding problem assessment and decision-making skills

• Ability to exercise independent judgment to identify and resolve problems

• Ability to analyze applicable policies and procedures to ensure financial integrity of customers

• Ability to discern overarching trends and patterns and to consider where changes or improvements are warranted

• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Job Location:

2801 Market St. F & L Bldg. Saint Louis, MO

550 S Tryon St. Charlotte, NC

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

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.

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.