Control Sr Associate - Legal Department Risk Operations

Wells FargoCharlotte, NC

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.

Legal - Our vision is to advance the company's strategy, support its transformation, and effectively manage risk through a team known for collaboration, sound judgment, and proactive advice.

We support our vision with four strategic pillars: Integrated Business Advice, Risk Management, Talent & Leadership Development, and Operational Excellence. #LegalDeptJobs

The Legal Risk Operations (LRO) team is responsible for partnering with their relevant business group to identify risks, assess risk and establish effective controls to mitigate operational and compliance risk for the Legal Department's front line operations.

This position will be responsible for assisting with the Legal Department's metrics programs, including Line of Business level metrics and the Operational Risk Key Risk Indicator programs. This candidate will assist with establishing and overseeing execution of these metrics programs including monthly metrics productions, boundary escalations, reporting, and periodic annual review. The execution of these programs will provide business leadership with insight into risks associated with their respective business unit activities, as well as a framework to identify, escalate, and respond to limit breaches. The overall team's function will establish, maintain and deliver key outcomes related to risk metrics, the Wells Fargo Risk Management Framework, and associated policies and procedures.

Additional responsibilities include:

  • Supporting LRO team members and leaders and Legal Department leaders in ensuring effective front line risk identification, measurement, monitoring, controls and mitigation; counseling business leaders on risk, issues, and remediation.
  • Maintaining deep and dynamic understanding of the key business processes and activities core the Legal Department's front line operations including third party, information security, data management and compliance programs.
  • Identifying and assessing risks with the business.
  • Designing 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
  • Tracing controls back to formal, documented business procedures owned in the business.
  • Identifying appropriate root cause and any relevant themes/trends to lead to proactive risk mitigation.

Required Qualifications


  • 5+ years of experience in risk management or 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management


Desired Qualifications


  • Experience developing partnerships and collaborating with other business and functional areas
  • Ability to interact with all levels of an organization
  • Ability to present reports to and interact with senior leaders
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Advanced Microsoft Office (Outlook, Excel, Word, PowerPoint, LiveMeeting and SharePoint) skills


Other Desired Qualifications

  • Business continuity and resiliency planning
  • Technology and information security experience
  • Experience working with enterprise risk programs

Job Expectations


  • Ability to travel up to 10% of the time

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