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Control Officer - Banking, Lending, Trust Control - Fiduciary
Company: Wells Fargo
Location: Des Moines, IA
Employment Type: Full Time
Date Posted: 04/17/2021
Expire Date: 05/22/2021
Job Categories: Accounting/Auditing, Banking, Finance/Economics, Financial Services, Information Technology, Insurance, Military, Research & Development
Job Description
Control Officer - Banking, Lending, Trust Control - Fiduciary
Job Description

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 are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth & Investment Management, or 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

WIM serves clients through the following businesses:

  • Wells Fargo Private Bank serves high-net-worth individuals and families
  • Abbot Downing serves ultra-high-net-worth individuals and families
  • Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers
  • Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide

Through Wells Fargo Private Bank and Abbot Downing, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.

The WIM Banking, Lending & Trust (BL&T) Control team has an opportunity for a Control Officer supporting the Fiduciary and Investment activities of this center of excellence. The Control Officer will work with their assigned business partners to ensure that controls are designed and evaluated, risks identified and assessed, and control programs implemented. A strong knowledge of business processes, control design, and enterprise risk programs combined with fiduciary and relationship skills are key to the success of this role.

Major Responsibilities:

  • Provides dynamic and proactive strategic leadership for business-specific programs, processes, and controls; executes control work in developing new and enhancing existing controls in partnership with business owners, including effectiveness measures, implementation support, validation of effectiveness post-implementation, and controls evaluation based on defined triggers
  • Partners with business stakeholders to drive improvement efforts to correct or prevent unfavorable trends and assesses impacts; consults on end to end issue management
  • Maintains deep and dynamic understanding of the key business processes core to the BL&T fiduciary business
  • Monitors and evaluates emerging risk, operational trends, and external risk events for potential impact to control
  • Drives a risk culture; influences the self-identification of issues and control gaps within the fiduciary business
  • Contributes and provides direction towards the development of procedures, guidelines, and governance programs such as new business initiatives, product change, regulatory change, and/or enterprise policy change.
  • Partners with the business on internal audits, regulatory exams, validation activities, etc. to ensure business is fully prepared to be successful

Required Qualifications

  • 7+ years of experience in risk management or 7+ years of financial services industry experience, of which 5+ years must include direct experience in risk management

Other Desired Qualifications
  • Prior experience in fiduciary knowledge and/or business experience
  • Prior experience managing processes, or process design experience
  • Strong analytical and critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls
  • Strong organizational skills, ability to work independently and on multiple initiatives concurrently
  • Excellent verbal and written communication skills and the ability to effectively interact with all levels of management and staff

Job Expectations

  • Ability to travel up to 10% of the time


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.

Benefits Summary


Visit https://www.wellsfargo.com/about/careers/benefits for benefits information.

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