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Compliance Officer / Compliance Consultant 5

Company: Wells Fargo Bank
Location: West Des Moines
Posted on: December 1, 2019

Job Description:

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 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.

Wholesale Banking provides financial solutions to businesses across the United States and globally. Our four major business lines include Corporate & Investment Banking, Commercial Banking, Commercial Real Estate, and Wells Fargo Commercial Capital. We also have groups in credit risk, group risk, finance, marketing, human relations, and the Wholesale Chief Operating Office that support our businesses.

Wells Fargo Compliance is the company's compliance independent risk management function, providing companywide leadership, standards, support, and independent oversight to ensure that all front-line 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.

Job Description

This Compliance Consultant 5 position supports the Wholesale Bank Regulatory Compliance Commercial Real Estate (CRE) Compliance team focusing on Commercial Mortgage Servicing activities. The Compliance Consultant will assist with the implementation of key elements of the Compliance program, including compliance risk assessments, regulatory change management, initiative management, establishment and implementation of policies and procedures, delivery of compliance, compliance issue management, metrics and reporting.

Key responsibilities include:

--- Provide strategic direction and guidance to CRE (Commercial Real Estate) and the control executive team regarding applicable laws, rules, regulations, enterprise standards and compliance-related best practices.
--- Assist in key enterprise and Wholesale compliance program elements with respect to CRE, including compliance risk assessments, initiative management, establishment and implementation of policies and standards, delivery of compliance training and awareness, metrics and reporting.
--- Establish processes to provide effective and timely implementation of regulatory change requirements applicable to CRE.
--- Complete evaluations of new and existing major requirements and oversee annual compliance aggregated risk assessment
--- Manage and track compliance issues related to CRE.
--- Implement periodic metrics and reporting to track the state of compliance for the CRE Compliance Manager, the Wholesale Bank Regulatory Compliance Chief Administration Officer, Head of Wholesale Bank Regulatory Compliance and Head of Wholesale Compliance.
--- Foster an environment that supports strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance and other corporate stakeholders to facilitate transparency, balance and credible challenge.
--- Sustain a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance issues across business lines, legal entities, geographies, and jurisdictions; and escalate compliance issues to senior Compliance management.

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 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.

Required Qualifications

--- 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

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
--- 8+ years of lending related financial regulations experience
--- Knowledge and understanding of regulatory compliance requirements surrounding business and consumer-lending or deposit laws and regulations
--- Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
--- Ability to develop partnerships and collaborate with other business and functional areas
--- An active Certified Regulatory Compliance Manager (CRCM) designation

Other Desired Qualifications

--- A Juris Doctor (JD) degree / Master's degree.
--- At least 5 years' experience with commercial/wholesale bank/division, regulatory agency, law department/firm, compliance, auditing or consulting firm.
--- Proven knowledge of operational risk, business operations, and processes and systems controls across a variety of complex financial services related businesses.
--- Experience in building/designing a control infrastructure through policies, procedures, guidance documents, and training development.

Job Expectations

--- Ability to travel up to 10% of the time

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.

Keywords: Wells Fargo Bank, West Des Moines , Compliance Officer / Compliance Consultant 5, Accounting, Auditing , West Des Moines, Iowa

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