Executive Assistant
TASC
Oracle
Senior Assistant Vice President – Business Controls Management, Regulations
Wells Fargo
full-time
Posted on:
Location Type: Hybrid
Location: Charlotte • New York, North Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $77,000 - $145,000 per year
Job Level
Senior
About the role
- Lead or participate in moderately complex initiatives and deliverables within business and contribute to large-scale, cross-functional planning related to mitigation of current and emerging business risk issues and concerns
- Assess, analyze, and design moderately complex controls, protocols, and approaches with respect to risk mitigation and the control environment
- Independently make decisions and resolve moderately complex issues while leveraging solid understanding of the business’s functional area or products
- Collaborate and consult with peers, colleagues, and mid-level managers to address current and emerging risks associated with business activities and operations
- Partner with peers and the business in interactions with external parties to support appropriateness and timeliness of response
Requirements
- 4+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience
- BS/BA degree or higher
- Trading product knowledge
- Understanding of applicable rules and regulations across specific Sales and Trading business, including Volcker and Regulation W
- Knowledge of supervision, supervisory programs, role of a supervisor, obligations of a supervisory delegate and risks associated with such
- Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner
- Self-starter with ability to multitask, manage competing priorities, and effectively lead in a dynamic environment
- Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner
- Strong attention to detail and high quality standard for work
- Commitment to provide timely and accurate guidance to FLU with strong ability to influence when needed
- Inquisitive and proactive mindset with the ability to think creatively to solve problems and anticipate potential questions and issues
- Experience handling highly sensitive and confidential information utilizing sound judgement
- FINRA Series 7, 24 & 63 licenses preferred but not a pre-requisite. Must be willing to obtain in a timely manner
Benefits
- 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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
risk managementbusiness controlsquality assurancecomplianceprocess experiencetrading product knowledgesupervisionsupervisory programsVolckerRegulation W
Soft skills
collaborationdecision makingproblem solvingcommunicationattention to detailinfluenceself-startermultitaskingtime managementcreativity
Certifications
FINRA Series 7FINRA Series 24FINRA Series 63
