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Compliance Associate - Third Party Consumer Law Oversight (TPCLO)

Company: Wells Fargo Bank
Location: West Des Moines
Posted on: February 15, 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 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. Wells Fargo Compliance is the company's compliance second line of defense function, providing company-wide leadership, standards, support, and independent oversight to ensure that all 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. The Third Party Consumer Law Oversight (TPCLO) team within Wells Fargo Compliance Third Party provides enterprise oversight and guidance to address consumer risks presented by third party service providers (TPSPs). The TPCLO team focuses on risks resulting from consumer financial protection laws and regulations. This position is for an experienced Compliance Associate to join the Third Party Consumer Law Oversight team, evaluating Consumer Financial Law (CFL) risks for third party vendors. This role is to focus on executing CFL assessments & confirmation of applicable regulatory risks. This position will partner across IRM and the LOB to confirm regulatory compliance risks & impacts as well as potential enhancements to the existing CFL process. Job Responsibilities include: Overseeing the laws, rules and regulations concerning Third Parties that affect or impact more than one LOB Manage document requests from internal and external stakeholders Maintaining an awareness of Third Party oversight regulatory requirements Assuring Enterprise TPRM program compliance with applicable regulatory and internal policy requirements Assuring lines of business adherence to TPRM program requirements Appropriately identifying, escalating and addressing issues, when necessary Providing oversight, guidance and credible challenge for assigned regulatory compliance risk management activities Maintaining an understanding of Major Requirements in light of changes in the internal and external regulatory environment, in consultation with the Law Department Providing credible challenge to TPRM regulatory compliance risk management activities by performing consistent, enterprise-wide horizontal reviews of the associated activities (e.g., risk assessment and analyses, policies, procedures, and corrective actions) Performing enterprise assessments of assigned regulations as required Using Corporate Risk tools and reporting to conduct risk analysis Participating in or leading cross-business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans Building strong partnerships and collaborating effectively with TPRM, Group Third Party Officers, Corporate Risk, Law Department partners and regulatory authorities Required Qualifications 2+ years of experience in risk (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management demonstrated through work or military) or 1+ year in the foregoing or financial services industry and a BS/BA degree or higher in business or a related field Desired Qualifications Intermediate 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 Third party service provider risk experience Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry Knowledge and understanding of audit methodologies and tools that support audit processes Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment Ability to track and monitor project progress, identify project and process gaps, recommend controls and communicate progress to business leaders Job Expectations Ability to travel up to 25% 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 Associate - Third Party Consumer Law Oversight (TPCLO), Other , West Des Moines, Iowa

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