Senior Lead Business Accountability Specialist, WIM Regulated Records Coordinator – Risk Shared Services Leader

Wells Fargo

. Serve as the Regulated Records Coordinator for Wealth & Investment Management (WIM).

Posted 4/29/2026full-timeCharlotte • Iowa, Minnesota, Montana, North Carolina, Texas • 🇺🇸 United StatesSenior💰 $159,000 - $279,000 per yearWebsite

About the role

Key responsibilities & impact

Serve as the Regulated Records Coordinator for Wealth & Investment Management (WIM).
Establish and maintain strong governance routines to ensure regulated records are appropriately identified, classified, retained, and disposed of in accordance with Enterprise policy and regulatory expectations.
Drive enterprise‑aligned enforcement of records management policies, ensuring accountability and consistent execution across WIM.
Lead thought leadership and education initiatives to elevate stakeholder understanding of regulated records requirements and obligations.
Lead ongoing assessments of WIM Shared Risk Services Programs to optimize process design, control effectiveness, and scalability while supporting business growth and efficiency.
Provide direct risk advisory support across programs including, but not limited to: Access Management, Compromised Data, Insider Threat, New Business Initiatives, Privacy Compliance risk programs (e.g., Reg W, Notary & Affiant, Volcker Rule).
Actively support program execution activities including RCSA, Issue Management, risk assessments, and critical deliverables.
Represent WIM in high‑visibility initiatives related to Records and Access Management, including Role‑Based Access Controls (RBAC), strategic migration to enterprise records repositories, and evaluation and execution of WIM records modernization opportunities.
Drive data connectivity across teams and risk programs to produce actionable insights for senior leadership decision‑making.

Requirements

What you’ll need

7+ 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, military experience, education
Regulated records management experience within a financial institution (e.g., FINRA‑regulated environment).
Strong risk and control management expertise, including governance, issue management, and control optimization.
Experience supporting or partnering with Wealth & Investment Management businesses.
Exceptional written and verbal communication skills, with experience presenting to senior leadership.
Demonstrated ability to utilize AI to drive efficiencies and enhanced quality outputs.
Hands‑on experience supporting risk programs such as Access Management, Compromised Data, Insider Threat, New Business Initiatives, Privacy, and key Compliance programs (e.g., Reg W, Notary & Affiant, Volcker Rule).
FINRA Series 99 (or equivalent), or willingness to obtain within 90 days of start date.

Benefits

Comp & perks

Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

risk managementbusiness controlsquality assurancecomplianceprocess optimizationgovernanceissue managementcontrol optimizationrecords managementdata connectivity

Soft Skills

communication skillspresentation skillsstakeholder engagementleadershipthought leadershipeducation initiativesanalytical skillscollaborationproblem-solvingadaptability

Certifications

FINRA Series 99