Business Execution Consultant – Registered Principal Product Governance & Business Risk

About this role:
Wells Fargo is seeking a Business Execution Consultant to join the Product Governance & Business Risk (PGBR) Team within the Investment Solutions Center of Excellence (IS COE). This individual will act as an appropriately registered principal responsible for reviewing retail communications.  The consultant is responsible for reviewing and editing advertising, sales literature, social media, conference calls, and other reports for adherence to firm and regulatory policies. The successful candidate should be familiar with various types of investments such as stocks, bonds, separately managed accounts, mutual funds, exchange traded funds and closed-end funds.

In this role, you will:

• Review, analyze, edit, and approve both internal and external communications to ensure adherence to regulatory requirements, internal guidelines, and other risk-related issues

• Review material produced by the Investment Solutions Center of Excellence (IS COE). This includes reviewing publications by the Wells Fargo Investment Institute (WFII) including, but not limited to Global Securities Research, Global Manager Research, Global Portfolio Management, and Managed Solutions & Investment Implementation Departments and the Product department within the IS COE including, but not limited to FundSource, Personalized UMA, Private Advisor Network, Mutual Funds, Closed End Funds, Retirement and Annuities

• Other responsibilities may include executing supervisory procedures; evaluating the adequacy and effectiveness of policies, procedures, and internal controls; and other related duties as assigned

• Risk project coordination responsibilities

• Participate in planning and executing a variety of programs, services, and initiatives, and monitor key indicators to ensure effective performance and control management of assigned operations or business groups

• Review basic initiatives including policy or process changes, process improvements, technology enhancements, and conduct regular reviews to identify efficiencies and cost savings opportunities

• Receive direction from leaders and exercise independent judgement while developing an understanding of policies and procedures, best practices, and initiatives

• Collaborate and consult with mid-level managers or cross-functional business partners

Required Qualifications:

• 2+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications:

• Successfully completed FINRA Series 24 examination to qualify for immediate registration (or FINRA recognized equivalents)

• Successfully completed FINRA Series 16 examination (Supervisory Analyst) OR FINRA Series 86/87 (Research Principal) to qualify for immediate registration (or FINRA recognized equivalents)

• Knowledge of FINRA and SEC Research and advertising rules

• Experience with Wells Fargo’s Compliance application (AdTrax)

• Conflict management and decision-making skills

• Strong negotiation skills

• BS in Business, Finance, Economics or related field

• Excellent verbal, written, and interpersonal communication skills

• Ability to interact with all levels of branch associates and business units

• Strong organizational, multi-tasking and prioritizing skills

• Strong attention to detail and accuracy skills

Job Expectations:

• Registration for FINRA Series 24 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

• Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.

• Specific compliance policies may apply regarding outside activities 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. Information will be shared about expectations during the recruitment process.

• This position is not eligible for Visa sponsorship.

Posting Locations:

• 2801 Market Street - Saint Louis, MO 63103

• 550 S. Tryon Street – Charlotte, NC 28202

• 550 S. 4th Street - Minneapolis, MN 55415

• Required location listed above. Relocation assistance is not available for this position.

This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$77,000.00 - $133,000.00

Posting End Date:

1 Feb 2026

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

 

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.