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Compliance Consultant 4- Independent Risk Management

Company: Wells Fargo
Location: West Des Moines
Posted on: September 8, 2019

Job Description:

Job Description
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.Responsible for monitoring to assure compliance with federal, state, agency, legal and regulatory requirements. Works with senior compliance and business management to identify, formulate and implement compliance risk policies, procedures and controls for the respective business and/or functional area. Provides compliance risk expertise to business projects and initiatives. Represents assigned area on all compliance risk matters requiring review and approval by senior management.Specific responsibilities include, but are not limited to:--- Provide subject matter expertise, advice, credible challenge and oversight of compliance matters for WFHL Mortgage Servicing activities--- Ensure consistent implementation and execution of regulatory requirements and policy requirements across WFHL Mortgage Servicing activities--- Work directly with front line on compliance issues, including root cause analysis, corrective actions and commitment to customer initiatives--- Ensure consistent oversight and participation in new business initiative activities including risk reviews, credible challenge and recommendations--- Conduct business process reviews, provide compliance reviews, feedback and approval for marketing materials, collateral and compliance disclosures--- Facilitate enterprise policy review and feedback gathering as well as policy implementation activities across WFHL Performing Servicing activities and provide advice and counsel for WFHL Performing Servicing leadership--- Work with the front line business control teams on the development of controls to satisfy regulatory or compliance policy requirements--- Keep abreast of consumer complaints to determine impact to the organization, identifying negative trends and recommending specific courses of action to address--- Work with Third Party Risk Management program teams and engagement managers in evaluating risk associated with third party outsourcing engagement and managing expectations for addressing ongoing compliance requirements and assurance or testing requirements--- Evaluate Enterprise Testing efforts to provide feedback and input into testing scope, conclusions and validation results--- Direct participation on WFAS Audit engagements and regulatory compliance examinations assess corrective action plans to ensure they address root causes and result in sustainable control enhancements--- Support the timely closure of required action plans and ensure timely escalations of issues as needed.--- Develop and maintain effective relationships within the front line control executive teams and independent risk management partnersPlease 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
    • Knowledge and understanding of mortgage servicing industry
    • Experience interpreting and applying state, federal, and agency legal and regulatory compliance requirements
    • Solid negotiation skills
    • Knowledge and understanding of Wells Fargo s Third Party Information Management Systems (TRIMS) database
    • Ability to articulate complex concepts in a clear manner
    • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
    • A BS/BA degree or higher
    • Exposure to Wells Fargo s Shared Risk Platform (SHRP)

      Other Desired Qualifications
      • Knowledge of risk-based regulatory compliance including the industry and laws and regulations that apply to areas of responsibility
      • Communicate and coordinate with senior management, Front Line Control Executive teams, the Law Department, Internal Audit and external customers as necessary
      • Ability to identify issues, risk and escalate to the appropriate party
      • Ability to integrate compliance requirements across a large, highly complex business


        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- Independent Risk Management, Executive , West Des Moines, Iowa

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