Business Risk & Control Sr. Associate - Wealth & Investment Management Wells Fargo Advisors

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message.  In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application. 

At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll 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. 

Wealth and Investment Management (WIM) is one of the United States' leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients' unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by building enduring client relationships through sound, thoughtful, and objective advice. Developing individualized plans for clients to help meet their financial objectives. Helping clients build, manage, preserve, and transition their financial resources and wealth. 

This position will be responsible for partnering with Wells Fargo Advisors (WFA) Branch Infrastructure & Supervision to identify, mitigate and control risk.  It will assist to develop and maintain a strong control environment across all risk exposures, in line with the enterprise risk management framework. It will be relied upon to deliver sound advice and counsel on applicable internal policy and program requirements and local, state, and federal regulations. It will play a significant role in leading the business through the execution of the Risk and Control Self-Assessment (RCSA) program. 

Responsibilities include: assessment and monitoring of all functional area controls and overall control environment; supporting root cause analysis, participating in the development of corrective action plans and overall issue management; partnering for control design, evaluation and self-assurance monitoring; and ensuring implementation of key risk management programs per risk framework.

• 5+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management demonstrated through work or military experience

• FINRA registration including Series 7 (or FINRA recognized equivalents)

• Comprehensive knowledge of front office brokerage operations and/or supervisory responsibilities
• Experience with third party vendor due diligence and oversight
• Experience with Issues Management
• Testing, validation and control design skills in financial services environment. 
• Experience with risk RCSA, Operational Risk Events, assurance activities, root cause identification, and control design.

The salary range displayed below is based on a Full-time 40 hour a week schedule.

MO-Saint Louis: Min: $80,500 Mid: $115,000

MO-Saint Louis: 100 N Jefferson Ave - Saint Louis, MO

All 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.