Senior Business Accountability Specialist - Fixed Income Trading and Syndicate Distribution

About this role:

Wells Fargo is seeking a Senior Business Accountability Specialist – Fixed Income Trading and Syndicate Distribution team within WF Wealth & Investment Management. This role will help advance business initiatives, strengthen day-to-day execution, manage policies and controls, and coordinate priorities across trading, product, technology, operations, risk, compliance, and legal partners. The successful candidate will work directly with a fast-paced, ever-changing trading organization and gain broad exposure to how fixed income markets and syndicate distribution operate, including the lifecycle of trading activity and syndicate distribution.

The specialist sits at the intersection of trading, business execution, and risk management, serving as a trusted advisor and execution partner to senior leaders and the Fixed Income Trading and Syndicate Distribution teams. You will support cross-functional initiatives, improve operating processes, help resolve business and technology challenges, and promote disciplined execution across the platform. The role will also maintain appropriate attention to governance, controls, policies, procedures, and regulatory obligations as part of sound business management.

In this role, you will:

• You will support cross-functional business initiatives with broad impact across Fixed Income Trading and Syndicate Distribution
• Partner with traders, product managers, operations, technology, risk, compliance, and legal teams to translate business needs into practical solutions and executable plans
• Support the sustainable design and execution of controls, policies, procedures, monitoring, and Risk and Control Self-Assessment activities that enable the business to operate effectively and meet its obligations
• Execute various controls and processes in support of business and trading activities
• Strategically collaborate and consult with peers, colleagues, and mid- to senior-level leaders; influence partners, communicate recommendations, and drive alignment on priorities
• Drive business execution priorities, including project planning, issue resolution, implementation readiness, stakeholder communication, and follow-through on key deliverables
• Analyze trading, operational, and technology challenges; evaluate variable factors; facilitate decision-making; and support implementation of solutions
• Collaborate on trading platform, product management, and process-improvement initiatives, working with managers and business partners to resolve issues and achieve goals
• Act as a liaison for the business with internal and external parties to support timely, accurate, and effective communications and materials
• Identify opportunities to improve processes, reporting, documentation, data quality, and operating effectiveness across the trading platform
• Provide supervisory sign-off on designated trading and post-trade activities, as applicable
• Collaborate on trading platform and product management oversight activities and with managers to resolve issues and achieve goals
• Contribute to the production and interpretation of trading activity and business, reporting metrics, to support decision-making and business oversight
• Develop a strong understanding of fixed income markets, products, trading workflows, post-trade activities, and the regulatory environment while helping the team adapt to changing market and business needs
• Receive direction from leaders while developing knowledge to understand function, policies, procedures, and compliance requirements
  

Required Qualifications:

• 4 years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, education
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Demonstrated experience supporting business initiatives and risk and controls related to business unit governance and documentation
• Fixed Income trading, syndicate distribution or trading supervision knowledge and experience
• Experience leading business initiatives, projects, or programs in a fast-paced environment with changing priorities
• Demonstrated experience managing RCSA activities or similar frameworks/processes to meet a variety of needs, including controls, regulatory requirements, and business intelligence
• 3+ years of experience in an investment management organization
• 3+ years of project, program or initiative management experience
• Experience collaborating with trading, product, operations, technology, legal, compliance, and risk partners to solve problems and deliver results
• Strong analytical and problem-solving skills, including the ability to assess business, operational, data, and technology considerations
• Ability to build effective partnerships with Compliance, Legal, Risk and Technology to provide solutions or recommendations
• Experience improving processes, implementing change, and managing deliverables through effective planning, communication, and stakeholder engagement
• Highly effective verbal and written communication skills with partners and senior leaders in Wealth & Investment Management
• Financial Industry Regulatory Authority (FINRA) Series 24 or desire to acquire
• Financial Industry Regulatory Authority (FINRA) Series 53 or desire to acquire

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Job Expectations:

• Work from a Wells Fargo office 5 days/week
• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) may be required for ongoing employment in this position
• 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.
• 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.
• This position is not eligible for Visa sponsorship

Posting Location:

• 2801 Market Street, Saint Louis, MO 63103
• Required location listed above. Relocation assistance is not available for this position.

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.

c. Please be prepared to provide accurate information and supporting documentation in connection with any lawful employment and education verification conducted by Wells Fargo.