Business Accountability Specialist - Securities Based Lending

Wells Fargo is seeking a Business Accountability Specialist to join the Securities Based Lending team within Wealth and Investment Management.

About the role

As a Business Accountability Specialist, you will support standard Bank PCL origination review work and serve as a key control and Financial Advisor (FA)-facing function. This role requires direct coordination with Legal, Compliance, Operations, and Financial Advisors on time-sensitive and complex matters, including bankruptcies, escalations, and transactions nearing critical deadlines.

Responsibilities

• Support complex advisor interactions and escalations that require direct, real-time engagement with Financial Advisors.
• Perform critical same-day control activities and regulatory processes that depend on late-day reporting and immediate issue resolution.
• Serve as an essential escalation and support point for offshore partners when advisor outreach and rapid decision-making are required.
• Participate in research, assessment, and documentation of matters relating to the business' policy and regulatory adherence, risk mitigation, or control efforts; identify patterns and trends and look for opportunities for procedural or control improvements within area of focus.
• Conduct assessments and analysis of basic business or operational outcomes, systems of record, technical assignments, documentation, procedures, or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment to guide completion of medium-risk deliverables.
• Present concise and well-articulated findings and recommendations, including rationale, to facilitate resolution of identified matters; exercise independent judgment while developing expertise in the risk mitigation or control activities of the business.
• Engage in additional research and studies to enhance regulatory knowledge.
• Participate in cross-organizational or internal operational initiatives and improvement efforts.

Requirements

• 2+ 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.

Qualifications

• Associate's degree in Business, Finance, Accounting, Economics, or a related field.
• Experience with Securities Based Lending products and regulations.
• Strong knowledge of business formation documents and trust documents to determine control, authorization, and ownership.
• System knowledge of Advisory Gateway.
• Intermediate Microsoft Office skills (Teams, Word, Excel, Outlook, PowerPoint).
• Intermediate Microsoft Excel skills, including data review, reporting, reconciliation, and tracking controls.
• Strong verbal and written communication skills with the ability to interact effectively with Financial Advisors, Legal, Compliance, Operations, and Risk partners.
• Strong organizational and time management skills with the ability to manage multiple priorities, deadlines, and escalations.
• Strong attention to detail and commitment to risk management, governance, and regulatory compliance.
• Ability to work independently while ensuring daily, monthly, quarterly, and annual control activities are completed accurately and on time.
• Ability to multi-task efficiently with daily, monthly, quarterly, and annual responsibilities.

Schedule

This position offers a hybrid work schedule.

Specific compliance policies may apply regarding outside activities and/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.