Compliance Consultant 4
The Internal Review Group is responsible for developing and executing a review program to test and verify business unit controls that help ensure the Firm's system of supervisory controls is operating effectively. Internal Review works with other control groups to review and track all testing and control assessments that are completed throughout the year to provide a comprehensive view of the control environment. In addition, the Internal Review Group is responsible for monitoring outstanding issues (e.g., regulatory exam findings, WFAS findings, and Internal Review findings) and performing substantive reviews of issue resolution plans and policy and procedure changes where necessary.
This position serves as a team lead in the planning and execution of a testing program over various areas within the brokerage and investment advisory to assure compliance with federal, state, agency, legal and regulatory requirements; this encompasses evaluating the adequacy of internal controls, reviewing the work of other consultants assigned to the project, working with business units on recommendations for remediation; and reporting findings to senior management. The Compliance Consultant (CC) will partner with business owners to ensure controls are well designed and operating effectively. In addition, the CC will be assigned to monitor the resolution of outstanding issues and consult with senior leaders in developing corrective actions to ensure regulatory compliance. The CC will also conduct and oversee testing to validate that the issue has been properly remediated.
- 6+ 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; or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both
- Advanced 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
- A BS/BA degree or higher in accounting, finance, or economics
- Ability to work effectively, as well as independently, in a team environment
- A Masters of Business Administration (MBA), Chartered Financial Analyst (CFA), or comparable professional designation
Other Desired Qualifications
- Experience leading audit engagements within brokerage and/or investment advisory
- Strong analytical and critical thinking skills as well as ability to gain an understanding of and evaluate the internal controls of previously unfamiliar areas
- Consultants should have or be willing to obtain NASD Series 7 securities registration
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.
0051890 CORP RISK/CORPORATE RISK
Meet Some of Wells Fargo's Employees
Lauren audits Wells Fargo’s financial reports to assess accuracy and risk. She reviews processes in place, analyzes management controls, and communicates calculations and findings with business partners.
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