Charles Elliott
Director, Wealth & Investment Management @Wells Fargo
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WORK HISTORY
Director, Wealth & Investment Management @Wells Fargo
Charlotte, NC, US
Most recently, I served as the enterprise leader for business-owned control assurance across Wealth & Investment Management, supporting Financial Advisors, including the design and delivery of the firm’s RCSA program under an FRB consent order.Key Achievements Led the WIM RCSA control assessment and evaluation program, establishing the strategy, governance, rhytms, and partnerships needed to sustain 1,500 control evaluations annually across ~3,500 controls. Empowered the WIM team through a culture of accountability and continuous improvement that enabled the team to successfully implement the RCSA program and lead the department in efficiency and QA results. Provided internal control guidance, training, and advice to all WIM business lines, focusing on control design, implementation and enhancements that led to overall effectiveness ratings improving from 65-70% to over 90%. Methodology & Strategy workstream sponsor that introduced AI-enabled control evaluations, improved Technology solutions, and identified methodology enhancements reducing overall testing time by 25%. Led Control Transformation efforts that reduced the overall control inventory by 20%, leveraging AI-enabled analysis, business insights, simplification, and identifying control automation opportunities that reduce risks. Partnered across business lines to assess and advise on key and emerging risks, new products and initiatives, enabling proactive remediation, improving self-identified issue rates, and supporting informed decision-making.
EDUCATION
Duke University
Executive Certificate in Internal Auditing
North Carolina State University
B.S.
Wake Forest University
Master of Business Administration (MBA)
SKILLS
ABOUT CHARLES ELLIOTT
As a strategic financial services leader with over 18 years of experience, I specialize in guiding senior leaders and client-facing teams toward risk-aware growth and effective governance. My ability to translate complex regulatory, risk, and market considerations into actionable insights empower sound decision-making, enhance customer trust, and drive sustainable revenue growth.Throughout my career, I have led transformative initiatives that address regulatory challenges and adapt to evolving business landscapes. I have consistently achieved measurable improvements in risk management, compliance, and operational effectiveness, ensuring alignment with audit and regulatory expectations.I leverage advanced business insights, AI, and automation to identify inefficiencies and optimize control environments. My efforts have resulted in significant reductions in control inventory and testing cycle times, ultimately lowering costs while enhancing operational focus. Additionally, I have established internal audit organizations that strengthen regulatory credibility and improve control effectiveness across enterprise risk programs.I am passionate about driving innovation and creating value in the financial services sector. Let’s connect to explore how we can collaborate to achieve impactful results together.
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