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About the Role

Wells Fargo is seeking a Financial Reporting Senior Manager to join the Corporate & Investment Banking (CIB) Controllers organization. This role will be part of an eight-person team responsible for supporting key financial and regulatory reporting activities across the broker-dealer business. The Senior Manager will play a critical leadership role within the team, partnering across Controllers, Finance, Operations, Technology, and other key stakeholders to drive accurate and timely reporting, strengthen the control environment, and support strategic and regulatory initiatives.

Responsibilities

Lead the interpretation and application of broker-dealer regulatory reporting requirements, capital rules, and accounting considerations, providing guidance on complex transactions, new products, and emerging regulatory matters.
Own the preparation, review, governance, and submission of broker-dealer regulatory filings, ensuring reporting is complete, accurate, timely, and supported by appropriate controls and documentation.
Lead the broker-dealer Controller function, overseeing financial reporting, balance sheet and income statement oversight, accounting and reporting matters, and the integrity of financial information.
Oversee regulatory capital and related reporting requirements, including assessment of transactions and balance sheet activity for potential capital and regulatory reporting implications.
Monitor and interpret regulatory developments and lead assessments of their impact on reporting requirements, methodologies, systems, data, processes, and controls.
Serve as a senior subject matter expert and key point of contact for broker-dealer regulatory reporting and Controller matters across Finance, Risk, Treasury, Operations, Technology, Legal, Compliance, and the businesses.
Lead responses to regulatory examinations, internal and external audits, and senior management inquiries, coordinating analysis, documentation, remediation, and stakeholder communication.
Drive strategic transformation of the reporting and Controller environment, including automation, data quality improvements, process simplification, system enhancements, and reduction of manual reporting processes.
Identify emerging reporting and control risks and drive remediation efforts across relevant stakeholders, ensuring clear accountability and sustainable resolution.

Requirements

7+ years of Finance, Accounting, Financial Reporting, Accounting Reporting or Risk Reporting experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
3+ years of management or leadership experience
Deep knowledge of broker-dealer regulatory reporting requirements and demonstrated ability to interpret and apply complex SEC and FINRA rules to transactions, products, and reporting matters.
Strong understanding of SEC Rule 15c3-1 (Net Capital Rule) and SEC Rule 15c3-3 (Customer Protection Rule), including the ability to assess regulatory capital and customer reserve implications.
Extensive knowledge of broker-dealer financial and regulatory reporting, including FOCUS reporting and the underlying accounting, regulatory, and reporting requirements.
Strong U.S. GAAP and technical accounting expertise, with the ability to evaluate complex or new transactions and determine appropriate accounting and regulatory reporting treatment.
Demonstrated experience researching, interpreting, and documenting regulatory guidance, including forming conclusions where requirements require judgment or interpretation

Work Type

Hybrid work schedule

Experience Level

Senior Manager

Salary/Compensations

$191,000.00 - $305,000.00

Benefits

Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement

About the Company

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.
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. c. Please be prepared to provide accurate information and supporting documentation in connection with any lawful employment and education verification conducted by Wells Fargo.

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.