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Compliance Consultant 4 Testing and Validation Review Lead

Company: Wells Fargo
Location: West Des Moines
Posted on: November 9, 2019

Job Description:

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 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 ou 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 Riskhelps 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. The Compliance Consultant 4 within Enterprise Functions Testing and Validation (T&V) team will be responsible for planning and executing control testing and issue validation in accordance with Operational Risk and Compliance Testing and Validation Standards and Procedures. This consultant will be responsible for the planning and execution of the compliance testing program for Human Resources, Human Capital, or Stakeholder Relations. Specific duties for this position include, but are not limited to * Provide testing support to the compliance program through leading review activities, identifying and reporting of issues, and validation of corrective actions to ensure regulatory compliance. * Work with assigned business units and provides compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in all business activities. * Exercise effective communication and promotes positive client relations with business line team members and management. * Consult with business to develop corrective action plans and effectively manage change to ensure regulatory compliance. * Facilitate an efficient and valued review process. Thoroughly document and succinctly write test work summaries and compliance activity reports. * Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedures concerning all compliance functions reviewed. * Understand and effectively apply the Enterprise Independent Monitoring, Testing, and Validation Policy and procedures. * Keep abreast of regulatory changes and issues affecting the Compliance Program. * Provide guidance to less experienced compliance consultants. Please Note Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo. Required_Qualifications * 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 Desired_Qualifications * 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 Other_Desired_Qualifications * 3+ years control testing and/or audit * Full testing life cycle experience that includes assessing test scope, designing test scripts, as well as executing, documenting and reporting. * Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment * Experience with risk assessment and consultation with an ability to view risk holistically * Ability to organize and manage multiple priorities * Ability to meet stringent deadlines * Ability to work effectively, as well as independently, in a team environment * Ability to work effectively in virtual environment where key team members and partners are in various time zones and locations * Experience providing credible challenge to business partners w necessary, with the ability to lead through influence * Experience in Audit, Compliance, Risk and Testing * Critical Thinking and Analytical skills with high attention to detail and accuracy * Knowledge of Human Resource and/or Stakeholder Relations regulations such as Community Reinvestment Act, Employment and Labor Standards, Interagency Guidance on Sound Incentive Compensation Policies, Affirmative Action/Equal Employment Opportunity, ADA, HIPAA/HITECH, ERISA, USERRA, FLSA, COBRA, Medicare, FMLA, State Employment Laws, IRS Tax, etc. * Certified Internal Auditor (CIA) * Certified Public Accountant (CPA) * Certified Regulatory Compliance Manager (CRCM) * Certified Risk and Compliance Management Professional (CRCMP) * Certified Risk Professional Program (CRP) Street Address NC-Charlotte401 S Tryon St - Charlotte, NC MN-Minneapolis600 S 4th St - Minneapolis, MN MO-Saint Louis1 N Jefferson Ave - Saint Louis, MO IA-Des Moines800 Walnut St - Des Moines, IA IA-West Des Moines7001 Westown Pkwy - West Des Moines, IA OR-Portland1300 Sw 5th Ave - Portland, OR TX-DAL-North Dallas14241 Dallas Parkway - Dallas, TX TX-San Antonio4101 Wiseman Blvd - San Antonio, TX SC-Fort Mill3480 State View Blvd - Fort Mill, SC PA-Philadelphia101 N Independence Mall E - Philadelphia, PA SD-Sioux Falls4811 N 4th Ave - Sioux Falls, SD Disclaimer 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. Reference Number *******-5

Keywords: Wells Fargo, West Des Moines , Compliance Consultant 4 Testing and Validation Review Lead, Accounting, Auditing , West Des Moines, Iowa

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