Compliance Consultant 3
- Assists with the administration of risk-based compliance programs designed to comply with various state/local procurement lobbying registration laws as well as supporting the public finance investment banking capital markets business for the Government and Institutional Banking (GIB) Group specifically and on a broader basis for Wells Fargo Securities
- Will execute day-to-day compliance oversight monitoring programs
- Will assist in implementing compliance oversight, surveillance, monitoring and testing strategies and methodologies
- Will assist with the preparation and submission of relevant regulatory filings
- Will assist in the development and delivery of compliance training opportunities.
- Reports to Director of Public Finance and Public Entity & Political Regulation Compliance within the GIB Compliance team.
Team members 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 and if 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.
- 2+ years 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
- 2+ years 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
- Ability to interact with all levels of an organization
- Excellent verbal, written, and interpersonal communication skills
- Intermediate Microsoft Office skills
- Strong analytical skills with high attention to detail and accuracy
Other Desired Qualifications
- 1 year experience in the fields of compliance, risk management, audit, legal, investment banking, government banking, government relations / public policy, city/county/state/federal government, or related
- Energetic, self-motivated individual who works with minimal oversight and produces quality results
- Strong leadership, communication, interpersonal skills and flexibility to build collaborative relationships across multiple business groups and compliance teams
- Bachelor’ s degree or equivalent prior compliance/risk, audit, legal, government banking or similar experience
- Ability to research legal statutes and summarize requirements
- Prior government banking, municipal securities or pay-to-play experience
- Experience with municipal procurement lobbying and/or gift/entertainment rules
- Possess, or be willing and able to obtain within a reasonable amount of time, municipal securities representative, municipal securities principal, and general securities principal securities qualifications
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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