Compliance Consultant 4
Company: Wells Fargo
Location: West Des Moines
Posted on: February 9, 2019
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.Wells Fargo Compliance is the company's compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.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.The Enterprise Functions Testing and Validation (T&V) team is seeking a candidate who will be responsible for executing quality assurance requirements, as outlined in the Enterprise Testing Operating Procedures for Information Security and Technology reviews. Specific Job Responsibilities:
- Leading, conducting and communicating quality assurance reviews for Enterprise Functions compliance testing and providing feedback regarding identified material deficiencies or issues, including identification of inconsistencies
- Identifying trends and reporting on findings and observations to Enterprise Functions Testing Leads and Managers
- Helping find solutions for identified areas requiring improvement or enhancement through credible challenge and making recommendations for process improvements
- Maintaining authoritative knowledge of Testing and Validation standards and procedures, SHRP Standards, Enterprise Functions review activity programs, and lessons learned from oversight reviews, audits and exams
- Working effectively with Enterprise Functions T&V team members, and compliance and business partners to ensure quality and consistency of the work product and an "audit ready" state.
- Creating reporting and presenting results to Senior ManagementA successful candidate will possess the following:
- Ability to meet stringent deadlines
- Solid critical thinking skills
- Ability to work effectively, as well as independently, in a team environment
- Ability to organize and manage multiple prioritiesPlease note this position could be pulled down early due to candidate volume.
- 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
- Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Audit or internal controls testing experience
- Experience creating, executing, and documenting compliance testing
- Experience testing policy and procedures/control testing
- Knowledge and understanding of Shared Risk Platform (SHRP) such as reporting and issue management
- Certified Anti Money Laundering Specialist (CAMS)
- Certified Information Systems Auditor (CISA)
- Certified Internal Auditor (CIA)
- Chartered Financial Analyst (CFA) or Certified Public Accountant (CPA)
- Certified Relocation Professional (CRP)
- Certified Information Security Manager (CISM)
- Certified Information Systems Security Professional (CISSP)
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.
Keywords: Wells Fargo, West Des Moines , Compliance Consultant 4, Accounting, Auditing , West Des Moines, Iowa
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