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Compliance Sr Associate; Conduct Risk Complaints Oversight

Company: Wells Fargo
Location: West Des Moines
Posted on: September 5, 2020

Job Description:

Job DescriptionImportant 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. Were looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where youll 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.

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 companys values, ethical principles, and supervisory guidance and expectations; performing independent oversight and credible challenge to the front lines adherence to those requirements; and providing independent oversight to the management of misconduct allegations, and customer complaints.

This position is part of the Complaints Oversight team and supports the oversight and governance of the complaint program.Required Qualifications


  • 5+ 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 5+ years of financial services industry experience, of which 3+ years must include direct experience in risk management


    Desired Qualifications


    • Good analytical skills with high attention to detail and accuracy
    • Excellent verbal, written, and interpersonal communication skills
    • Ability to interact with all levels of an organization
    • Strong organizational, multi-tasking, and prioritizing skills
    • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
    • Ability to articulate complex concepts in a clear manner
    • Solid critical thinking skills
    • Solid problem solving skills
    • Solid decision making skills
    • Ability to develop partnerships and collaborate with other business and functional areas
    • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
    • Ability to identify risks and propose mitigation plans
    • Advanced Microsoft Office skills
    • Advanced Microsoft PowerPoint skills


      Other Desired Qualifications


      • Experience with Complaints Program Governance
      • Certified Risk Compliance Manager (CRCM)
      • Certificate in Operational Risk Management (ABA)
      • Certified Risk And Compliance Management Professional (CRCMP)


        Job Expectations


        • Ability to travel up to 15% of the time


          Street AddressNC-Charlotte: 301 S College St - Charlotte, NC

          NC-Charlotte: 128 South Tryon Street - Charlotte, NC

          NC-Charlotte: 401 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

          TX-Plano: 4975 Preston Park Blvd - Plano, TX

          IA-Des Moines: 206 8th St - DES MOINES, IA

          IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA

          MN-Minneapolis: 600 S 4th St - Minneapolis, MN

          MN-Minneapolis: 2650 Wells Fargo Way - Minneapolis, MN

          MN-Saint Louis Park: 435 Ford Rd - Saint Louis Park, MN

          NY-New York: 150 E 42nd St - New York, NY

          NJ-Summit: 190 River Rd - Summit, NJ

          AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ

          AZ-PHX-Northwest Phoenix: 2222 W Rose Garden Ln - Phoenix, AZ

          AZ-Chandler: 2700 S Price Rd - Chandler, AZ

          MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MODisclaimerAll 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 Sr Associate; Conduct Risk Complaints Oversight, Other , West Des Moines, Iowa

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