Compliance Sr. Manager / Wealth Investment Management Oversight Leader

Company: Wells Fargo Bank
Location: West Des Moines
Posted on: January 14, 2020

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. 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. Conduct Risk is responsible for establishing a set of policies and risk management requirements to enable Wells Fargo to effectively manage current and emerging conduct risks in a manner consistent with the company's values, ethical principles, and supervisory guidance and expectations; performing independent oversight and credible challenge to the front line's adherence to those requirements; and providing independent oversight to the management of misconduct allegations, and customer complaints. The Compliance Senior Manager would be responsible for leading the Wealth Investment Management (WIM) Oversight team, reporting up to the Conduct Risk Oversight Senior Director. Leader manages a team responsible for oversight, activities, and reporting for WIM focused on Sales Practices (inclusive of Customer Harm) and other conduct risks. Leader also focuses on identifying and executing activities to strengthen conduct risk program risk identification, monitoring, escalation, issue management, and risk measurement reporting. Key Responsibilities: - Provides advice and credible challenge to WIM functions' senior management, conduct risk senior management, audit, and regulators. - Strong communication, influencing, and problem-solving skills. Interacts with senior business leaders, control function partners, and regulators to foster transparency and awareness of conduct-related activities. - Accountable for making sound risk decisions and escalating issues and concerns. - Evaluates key conduct risk metrics and identifies additional metrics/reporting needed for effective oversight. 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. As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will: - Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them - Accomplish management responsibilities, which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks Required Qualifications - 10+ years of experience in risk management (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) or 10+ years of financial services industry experience, of which 7+ years must include direct experience in risk management - 3+ years of management experience Other Desired Qualifications - Ability to lead, develop, and execute oversight routines over business group and line of business functions with differing, complex, and large impact areas - identifying risk, existing controls, controls gaps, areas for improvement, trends, emerging risks, and overall recommendations - Ability to credibly challenge the front line throughout each stage of the Risk Management Lifecycle for conduct risks; plan, identify and assess, control and mitigate, monitor and report, and test and validate (i.e. RCSA, performance management and incentive compensation, risk controls, issues management, metric results, etc.) - Ability to manage large bodies of work, with multiples partners, complex and shifting processes; ability to quickly understand other owned processes, understand recommendations/problems, develop solutions, and execute under aggressive deadliness - Ability to own or contribute to problem solving and drive work to execution through validation - Ability to identify solutions and influence peers, leaders in other groups, and senior managers, with differing opinions and challenges - Ability to negotiate - Subject matter expert in conduct risks - Risk expertise and issue resolution guidance for WIM business group and lines of business, projects and initiatives that represent a high level of conduct risk to ensure timely resolution - Compliance Risk Certified Manager or professional certifications desired Street Address NC-Charlotte: 301 S College St - Charlotte, NC NC-Charlotte: 301 S Tryon St - Charlotte, NC NC-Charlotte: 401 S Tryon St - Charlotte, NC NC-Charlotte: 550 S Tryon St - Charlotte, NC NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC GA-Atlanta: 3579 Atlanta Ave - Atlanta, GA TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX TX-Irving: 250 E John Carpenter Freeway - Irving, TX CO-Denver: 1700 Lincoln St - Denver, CO IA-Des Moines: 800 Walnut St - Des Moines, IA IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA MN-Minneapolis: 600 S 4th St - Minneapolis, MN CO-Englewood: 9780 S Meridian Blvd - Englewood, CO GA-Atlanta: 360 Interstate North Pkwy Se - Atlanta, GA AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ AZ-PHX-Northwest Phoenix: 11601 N Black Canyon Hwy - Phoenix, AZ AZ-Chandler: 2600 S Price Rd - Chandler, AZ AZ-Tempe: 1150 W Washington St - Tempe, AZ OR-Portland: 1300 Sw 5th Ave - Portland, OR NC-Raleigh: 1100 Corporate Center Dr - Raleigh, NC UT-Salt Lake City: 1095 E 2100 S - Salt Lake City, UT UT-Salt Lake City: 1255 E Brickyard Rd 1 Flr - Salt Lake City, UT UT-Salt Lake City: 260 Charles Lindbergh Dr - Salt Lake City, UT TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO 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 Sr. Manager / Wealth Investment Management Oversight Leader, Executive , West Des Moines, Iowa