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Compliance Manager 3 - Wholesale T&V Quality Control

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 when 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

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.

Wholesale Testing and Validation (T&V), within Enterprise Testing, is seeking a Compliance Manager 3 position on the
Infrastructure & Support Team. This position will be responsible for managing the execution of quality assurance reviews for Wholesale group level compliance and business process testing & validation. This role will also contribute in the ongoing enhancement of the Wholesale T&V quality assurance program.

Specific Job Responsibilities:
--- Developing and maintaining a thorough understanding of corporate and Wholesale policies, procedures, and standards,
including Operational Risk and Compliance Testing and Validation Standards, Enterprise Testing - Control Testing and
Issue Validation Procedures
--- Manage execution of quality assurance reviews for domestic and international Wholesale group level compliance and business process testing &
validation
--- Provide oversight and consultation to the compliance, business process & financial crimes testing programs
--- Bring effective challenge, judgment, awareness, and transparency to the Wholesale compliance priorities
--- Provide valuable solutions and recommendations that focus on efficiency and process improvements
--- May interact with Audit and/or provide support in interactions with regulators on compliance-related topics.
--- Manages annual performance objectives, participates in identifying and addressing compliance training opportunities, oversees team member completion of assigned training and performance goals, and provides support for incentive compensation decisions.
--- Responsible for developing, and retaining talent and maintaining staffing levels required to carry out compliance roles and responsibilities effectively.

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.

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

--- 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
--- 3+ years of management experience

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 articulate complex concepts in a clear manner
--- Ability to interact with all levels of an organization
--- Ability to work effectively, as well as independently, in a team environment
--- Strong time management skills and ability to meet deadlines
--- Strong organizational, multi-tasking, and prioritizing skills
--- Ability to develop partnerships and collaborate with other business and functional areas
--- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
--- An active Certified Public Accountant (CPA) designation

Other Desired Qualifications

--- 4+ years of experience in Audit, Compliance, Risk, and Testing (with specific experience executing detailed test instructions or
quality assurance reviews to assess control or process effectiveness within a testing program or as part of an internal Audit
program)
--- Prior experience SHRP Review Activities module
--- One or more of the following certifications: Certified Information Systems Auditor (CISA), Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM) designation, Certified Anti Money Laundering Specialist (CAMS), or other applicable certifications
--- Certified Financial Crimes Specialist (CFCS)
--- Certified Risk and Compliance Management Professional (CRCMP)
--- Certified Risk Professional Program (CRP)

Street Address

GA-Atlanta: 3579 Atlanta Ave - Atlanta, GA
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
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
CO-Englewood: 9780 S Meridian Blvd - Englewood, 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
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
PA-Philadelphia: 101 N Independence Mall E - Philadelphia, PA
SD-Sioux Falls: 4811 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.

Keywords: Wells Fargo Bank, West Des Moines , Compliance Manager 3 - Wholesale T&V Quality Control, Executive , West Des Moines, Iowa

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