Compliance Consultant 5
Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume prior to submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application.
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct, credit, financial crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk.
The group provides leadership, enhances communications, assists with problem identification and solutions, and shares best practices. In addition, the 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.
Within Wells Fargo Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group- specific testing.
- Plan and perform risk-based review activities that independently evaluate the effectiveness of Wells Fargo's businesses' operational controls and its compliance with key regulations and policies.
- Develop, plan and perform issue validation activities that independently evaluate the adequacy, comprehensiveness and effectiveness of corrective actions taken by businesses to remediate critical issues
- Identify deficiencies and recommend solutions to complex issues
- Assist with annual plan development and maintenance across operation risk and compliance risk.
- Work with Front Line and Independent Risk Management teams to agree on corrective actions to strengthen monitoring and testing programs
- Ensure identified deficiencies are promptly addressed and effectively resolved
- Write reports or presentations that clearly articulate the results/conclusions of review activities and communicate to key stakeholders across the company
- Lead or assist in investigating and reporting issues, as needed, conducting inquires, obtaining and reviewing necessary documents and interviewing team members, as appropriate
- Assist on Independent Risk Management projects
- Work collaboratively with internal and external stakeholders and across groups/LOBs and with other risk management teams
- Maintain an understanding of the Corporate Risk Framework and the interconnectivity of its key components
- Maintain an understanding of business operations and regulatory guidance/expectations
- Anticipate changes in the internal and external environment and adapt the testing program accordingly
- Provide guidance during risk assessment processes and state of operational risk and compliance reporting
- As appropriate, assist with the development of training/procedural materials
- Work with senior management, Legal Department and other key constituencies to encourage, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations
- Ensure proper and effective communication (including developing reporting) is in place
- 10+ 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 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ 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
- Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members
- Ability to take initiative and work independently with minimal supervision in a structured environment
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
- A BS/BA degree or higher
- Experience with Wells Fargo risk systems such as Shared Risk Platform (SHRP), Risk and Control Self-Assessment (RCSA), or Control Risk Analysis System (CRAS+)
- Ability to form a story through data analysis
- Experience using data analysis to identify trends
Other Desired Qualifications
- Experience in Audit, Compliance, Risk and Testing Critical Thinking and Analytical skills
- Experience providing "credible challenge" to business partners when necessary, with the ability to lead through influence.
- Full testing lifecycle experience that includes defining test scope, designing test scripts, as well as executing, documenting and reporting.
- Experience creating, executing, and documenting compliance testing
- Experience in annual testing plan development and maintenance processes
- Experience with tracking and monitoring corrective actions, audits or exams
NC-Charlotte: 401 S Tryon St - Charlotte, NC
MN-Minneapolis: 600 S 4th St - Minneapolis, MN
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
IA-Des Moines: 666 Walnut St - Des Moines, IA
OR-Portland: 1300 Sw 5th Ave - Portland, OR
TX-DAL-North Dallas: 14241 Dallas Parkway - Dallas, TX
TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
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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