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Compliance Consultant

Company: Wells Fargo
Location: West Des Moines
Posted on: June 13, 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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take 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. Brief Group DescriptionIn mid-2017, Wells Fargo began the process of centralizing compliance support for the Service members Civil Relief Act Center of Excellence (SCRA COE) within one team. This endeavor was initiated with the intent to make more efficient and effective the compliance advice and execution for this cross-enterprise compliance function. The team provides day-to-day support for the SCRA COE and performs the Independent Risk Management function for SCRA and Military Lending Act (MLA).Primary Duties and ResponsibilitiesResponsible 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. Designs and develops compliance monitoring strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations. Consults with business to develop corrective action plans and effectively manage change to ensure regulatory compliance. Identifies training opportunities; designs/coordinates the development of training materials; delivers or coordinates training delivery. Reports findings and recommendations to senior management. Manages and/or coordinates production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies. Manages and/or coordinates site, agency or other examinations conducted by external parties. Manages project teams and may provide guidance to less experienced consultants. May directly manage 1-2 specialists/consultants.Key responsibilities include, but are not limited to:

  • Play a key role in the SCRA/MLA COE Compliance Program, providing subject matter expertise and performing compliance duties day-to-day in partnership with COE business colleagues.
  • Working 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.
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations.
  • Consulting with business to develop corrective action plans and effectively manage change to ensure regulatory compliance.
  • Identifying training opportunities and providing subject matter expertise to the design, coordination and development of the training materials and delivery methods.
  • Reporting findings and recommendations to senior management.
  • Coordinating production of periodic compliance performance reports for senior management, including trend analysis and recommended strategies.
  • Providing subject matter expertise and credible challenge to business lines, which may involve managing corrective actions, driving regulatory change management processes, and developing training materials

    Required Qualifications
    • 10+ 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 10+ years of IT systems security, business process management or financial services industry experience, of which 5+ 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
      • An active Certified Regulatory Compliance Manager (CRCM) designation

        Other Desired Qualifications
        • Experience in design, implementation, and execution of compliance programs to ensure effective risk management
        • Ability to work both independently and collaboratively as part of a team within CL/PVSI Risk and with senior line of business associates and other support partners, including the ability to negotiate with numerous parties with varying opinions and positions and reach agreeable solutions
        • Experience working with WF compliance and operational risk policies and procedures, and with corporate Operational Risk Platform tools such as SHRP
        • Proven ability and experience looking at the big picture across a risk program and implementing successful strategies and solutions
        • Ability to adapt to changing and competing priorities
        • Must be detail oriented and possess the ability to effectively multi-task and successfully work on several unrelated projects at the same time, including independently leading complex projects with cross-functional participation
        • Ability to draft and present to senior management in a clear and concise manner in written and oral form
        • Ability to provide credible challenge, while exercising sound judgment and professionalism, in order to address a broad spectrum of risk issues, including how they apply to the businesses, taking into account relevant factors, alternate solutions, as well as escalation when appropriate.
        • High degree of initiative and strong ability to meet principal accountabilities with limited direction and oversight; prioritize and organize work with limited supervision while still meeting deadlines
        • compliance/audit/legal credentials
        • Demonstrated SCRA and/or MLA experience

          Job Expectations
          • Ability to travel up to 5% 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.
            Associated topics: attorney, business, company, compliance department, corporate, corporate attorney, court, internal, legal, market

Keywords: Wells Fargo, West Des Moines , Compliance Consultant, Other , West Des Moines, Iowa

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