WIM Regulated Records Coordinator & Risk Shared Services Leader - Senior Lead Business Accountability Specialist

About this role:

Wells Fargo is seeking a highly accomplished, intellectually curious risk leader to serve as the WIM Regulated Records Coordinator and a key advisor across WIM Shared Risk Programs. This is a critical, high‑visibility role accountable for strengthening and optimizing the WIM Regulated Records Program while driving best‑in‑class execution across multiple parallel risk programs.

The successful candidate will lead complex program transformations, resolve high‑stakes issues, and partner closely with senior leadership to enhance governance, controls, and ease of doing business. This role requires strong strategic judgment, deep risk and control expertise, and the ability to execute across multiple concurrent priorities with precision and influence.

In this role, you will:

Regulated Records Leadership

• Serve as the Regulated Records Coordinator for Wealth & Investment Management (WIM).
• Establish and maintain strong governance routines to ensure regulated records are appropriately identified, classified, retained, and disposed of in accordance with Enterprise policy and regulatory expectations.
• Drive enterprise‑aligned enforcement of records management policies, ensuring accountability and consistent execution across WIM.
• Lead thought leadership and education initiatives to elevate stakeholder understanding of regulated records requirements and obligations.

Shared Risk Program Oversight & Advisory

• Lead ongoing assessments of WIM Shared Risk Services Programs to optimize process design, control effectiveness, and scalability while supporting business growth and efficiency.
• Provide direct risk advisory support across programs including, but not limited to:
  • Access Management
  • Compromised Data
  • Insider Threat
  • New Business Initiatives
  • Privacy
  • Compliance risk programs (e.g., Reg W, Notary & Affiant, Volcker Rule)
  • Oversight touchpoints for Information Security, Technology, and Data Loss Prevention
• Actively support program execution activities including RCSA, Issue Management, risk assessments, and critical deliverables.

Strategic Execution with Cross-Program Mindset

• Represent WIM in high‑visibility initiatives related to Records and Access Management, including Role‑Based Access Controls (RBAC), strategic migration to enterprise records repositories, and evaluation and execution of WIM records modernization opportunities.
• Drive data connectivity across teams and risk programs to produce actionable insights for senior leadership decision‑making.

• Act as an advisor to senior leadership to develop or influence plans, specifications, resource needs, and goals for multi-faceted, highly complex, or long-term risk mitigation and control strategies on behalf of the business.
• Lead the strategy and resolution of highly complex current and emerging risks which require understanding of business-specific knowledge related to financial crimes, operational risk, audit, legal, credit risk, market risk, IT, systems security, business process management, and applicable business acumen.
• Provide vision, direction, and expertise to senior leadership on implementing innovative and significant business solutions that are large-scale, multi-faceted, long-term, or companywide strategies.
• Strategically engage with all levels of professionals and managers companywide and serve as an expert advisor to leadership.

Required Qualifications:

• 7+ 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

Desired Qualifications:

• Regulated records management experience within a financial institution (e.g., FINRA‑regulated environment).
• Strong risk and control management expertise, including governance, issue management, and control optimization.
• Experience supporting or partnering with Wealth & Investment Management businesses.
• Exceptional written and verbal communication skills, with experience presenting to senior leadership.
• Demonstrated ability to utilize AI to drive efficiencies and enhanced quality outputs.
• Hands‑on experience supporting risk programs such as Access Management, Compromised Data, Insider Threat, New Business Initiatives, Privacy, and key Compliance programs (e.g., Reg W, Notary & Affiant, Volcker Rule).
• FINRA Series 99 (or equivalent), or willingness to obtain within 90 days of start date.

Job Expectations:

• This position offers a hybrid work schedule

• This position is not eligible for Visa sponsorship

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

$159,000.00 - $279,000.00

Posting End Date:

10 May 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.