Compliance Consultant 2

Job Description

It starts with you. Our goal is to attract, develop, retain and motivate the most talented people - those who care and who work together as partners across business units and functions. We value and promote diversity and inclusion in every aspect of our business and at every level of our organization.

At Wells Fargo, we invest in our people. Our diverse lines of business offer unique opportunities to expand your knowledge and advance your career.

Corporate Risk provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, this group provides an enterprise-wide view of risk, assists management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business, and takes appropriate action when business activities exceed the risk tolerance of the company.

The Compliance Consultant 2 (CC2) will be responsible for implementing and monitoring a risk-based compliance program that assures compliance with federal, state, agency, legal, and regulatory requirements. The Consultant will be responsible for:

  • Reviewing, analyzing, and addressing more complex operational and service complaints from multiple sources, including WFA Office of the President and WFA Branches and clients.
  • Directly communicating with clients on the phone and drafting correspondence concerning their complaints.
  • Under general supervision, creating and maintaining regulatory templates.
  • Developing, negotiating, and delivering resolutions both verbally and in writing to clients and Branches.

Required Qualifications

  • 1+ year of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both
  • 1+ year of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field

Desired Qualifications

  • Intermediate Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization

Other Desired Qualifications

  • Proven ability to work in a fast-paced environment requiring a high level of accuracy and organization
  • 2+ years of direct customer service experience resolving issues
  • Working knowledge of the following systems: BETA, SmartStation, Word, Excel, CIV, CHAMP, Image Access
  • Bachelor degree or equivalent experience
  • 5+ years Client Service or related business experience
  • 1+ years demonstrated ability to research, compile data, and perform complex analysis on operational complaints to achieve final resolution
  • 1+ years experience independently providing complete summaries of issues and resolution descriptions
  • 1+ years development of strong troubleshooting, resolution, and reporting skills
  • 1+ years Brokerage Operations experience


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.


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