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Compliance Consultant 5

Company: Wells Fargo
Location: West Des Moines
Posted on: June 15, 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. 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 Executive Reporting and Issue Management Consultant is responsible for administering governance, ongoing oversight and monitoring & reporting of compliance issues. This includes issues that are owned by Wells Fargo Compliance itself or otherwise owned by one or more lines of business (LOBs) and includes self-identified issues or issues identified by internal (e.g., Wells Fargo Audit Services) or external (e.g., regulator) parties. Specific responsibilities include:

  • Facilitate or oversee the end-to-end issues management process for all applicable compliance issues
  • Ensure compliance issues are managed in accordance with the Issue Management Policy & Procedure, and other related corporate policies and standards
  • Create and manage internal team procedural documents and recommend process improvements as needed including strategic automation enhancements
  • Serve as the senior advisor actively engaged to provide credible challenge on behalf of Compliance in all issue management policy and related technology discussions
  • Identify and communicate process change requirements for Compliance data entry and quality activities (e.g., SHRP)
  • Expand data quality reporting and resolution (e.g., Enterprise Criticality Ratings (ECRs), policies breaches, hierarchy movements, etc.)Identify and work with team manager to prioritize changes to Compliance issue processes as new enterprise issue management requirements are announced
  • Serve as a senior advisor in the Community of Practice Forums; assist in the identification of cross-group impacts associated with compliance issues
  • Serve as a key contact for resolution of Compliance related questions
  • Identify improvements to reporting, analytics and key metrics related to compliance issues (e.g., common themes, trend analysis, aging)
  • Assist the Compliance Strategy & Operations team with annual compliance risk assessment activities, and ensure that risk assessment data remains up-to-date and reflective of the compliance issues identified
  • Maintain an understanding of the Wells Fargo Compliance Framework and the interconnectivity of its key components
  • Maintain an understanding of business operations and regulatory guidance/expectations
  • Anticipate changes in the internal and external environment and help adapt Compliance issues management related policies / procedures accordinglyThis role will be open to any location with in the Corporate Risk Footprint

    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
      • A BS/BA degree or higher
      • An active Certified Regulatory Compliance Manager (CRCM) designation
      • Ability to consult, build, and maintain solid working relationships in and outside of immediate department
      • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
      • Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment
      • Ability to provide leadership to a matrixed organization environment
      • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry
      • Experience developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or providing oversight to a compliance function

        Other Desired Qualifications
        • At least 2 years of experience running and/or working on an Issue Management program
        • Experience analyzing and doing oversight of analytics/data, metrics and reporting for compliance and governance

          Job Expectations
          • Ability to travel up to 10% of the time

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

            NC-Charlotte: Min: $110,600 Mid: $158,000
            TX-DAL-North Dallas: Min: $110,600 Mid: $158,000
            IA-West Des Moines: Min: $110,600 Mid: $158,000
            MN-Minneapolis: Min: $110,600 Mid: $158,000
            OR-Portland: Min: $110,600 Mid: $158,000
            TX-San Antonio: Min: $110,600 Mid: $158,000
            MO-Saint Louis: Min: $110,600 Mid: $158,000


            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 corporate, compliance, compliance department, corporate, court, courtroom, lawyer, legal affairs, legal department, market

Keywords: Wells Fargo, West Des Moines , Compliance Consultant 5, Other , West Des Moines, Iowa

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