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Compliance Consultant 4 - Specialty Asset Management

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.

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.

Wells Fargo Compliance is the company's compliance independent risk management function, providing company-wide 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.

This position will support Specialty Wealth Segments (SWS) for Investment and Fiduciary Services, part of the Wealth Management organization; including Business Advisory Services, Real Estate Asset Management, Oil, Gas and Mineral Management, and Loan Asset Management.

Responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight to a compliance function. Works with complex business units and provides compliance risk expertise and consulting for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities.

Manages and/or evaluates reports on adherence to firm and regulatory policies, implements supervisory procedures, and assists with the development of internal controls.

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
--- A BS/BA degree or higher
--- Knowledge and understanding of Shared Risk Platform (SHRP) such as reporting and issue management

Other Desired Qualifications

--- Experience with regulatory framework as it applies to Wealth Management industry; Experience with SHRP and control assessment and development
--- Professional Certifications desired; CRCM; CTFA; CIA

Job Expectations

--- Ability to travel up to 5% of the time

Salary Information

The salary range displayed below is based on a Full-time 40 hour a week schedule.

MN-Minneapolis: Min: $80,500 Mid: $115,000
IA-Des Moines: Min: $80,500 Mid: $115,000
MO-Saint Louis: Min: $80,500 Mid: $115,000
TX-SA-Downtown: Min: $80,500 Mid: $115,000
NC-Charlotte: Min: $80,500 Mid: $115,000

Street Address

MN-Minneapolis: 600 S 4th St - Minneapolis, MN
IA-Des Moines: 666 Walnut St - Des Moines, IA
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
TX-SA-Downtown: 750 E Mulberry Ave - San Antonio, TX
NC-Charlotte: 8505 Ibm Drive - Charlotte, NC

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 Consultant 4 - Specialty Asset Management, Executive , West Des Moines, Iowa

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