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Compliance Consultant 5 - WIM Compliance Strategic Initiative

Company: Wells Fargo
Location: West Des Moines
Posted on: November 9, 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.The Wealth and Investment (WIM) Compliance Strategic Initiatives function supports the Head of WIM Compliance by developing and leading various strategic and ad hoc projects and initiatives across the WIM Compliance team. The Head of WIM Compliance Strategic Initiatives is seeking a Compliance Consultant 5 team member. The specific responsibilities of this role will include:

  • Supporting the Head of WIM Compliance Strategic Initiatives in the planning, development and execution/operationalization of high priority, complex compliance-related initiatives or special projects, aimed at achieving more efficient and consistent execution of processes;
  • Ensuring coordination across the business-aligned WIM compliance teams as well as multiple teams across the Enterprise to facilitate consistency in implementation, tracking or reporting;
  • Facilitating the implementation of effective compliance strategies to assess key risks and anticipate regulatory issues; and identifying opportunities to simplify and drive consistency of solutions to strengthen compliance risk management;
  • Providing credible challenge of data and other information provided, with the objective of supporting its accuracy and precision;
  • Preparing, developing and continually improving reporting for WIM Compliance in alignment with Wells Fargo Compliance?s overall reporting strategy;
  • Drafting and editing written materials to present clear, concise information that supports effective compliance risk management;
  • Supporting a strong risk culture that identifies and appropriately escalates existing and emerging compliance issues; and
  • Handling restricted and confidential supervisory information with the utmost care and discretionPlease 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
    • 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
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Ability to work effectively, as well as independently, in a team environment

        Other Desired Qualifications
        • Subject?matter expertise in processes related to regulatory compliance risk management and a well-rounded knowledge of current compliance issues and challenges.
        • Experience in one of the following businesses; brokerage, banking, fiduciary or asset management.
        • Experience generating impactful management reporting reflecting thoughtful organization and presentation of data, critical thinking and analysis of information, and a keen attention to detail/accuracy.
        • Demonstrated strong organizational, multi-tasking, and prioritizing skills
        • Demonstrated Microsoft Office skills, specifically the ability to filter and analyze data in Excel, and create PowerPoint presentations and Word documents
        • Ability to collaborate and consult with teammates and key business partners
        • Ability to design and implement efficiencies into processes and controls
        • Experience with building solutions and best practices for projects, tools, and processes

          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
            NC-Charlotte: Min: $110,600 Mid: $158,000
            NC-Charlotte: Min: $110,600 Mid: $158,000
            NC-Charlotte: Min: $110,600 Mid: $158,000
            NC-Charlotte: Min: $110,600 Mid: $158,000
            SC-Fort Mill: Min: $110,600 Mid: $158,000
            IA-Des Moines: 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


            Street Address
            NC-Charlotte: 401 S Tryon St - Charlotte, NC
            NC-Charlotte: 301 S College St - Charlotte, NC
            NC-Charlotte: 301 S Tryon St - Charlotte, NC
            NC-Charlotte: 550 S Tryon St - Charlotte, NC
            NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
            SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
            IA-Des Moines: 800 Walnut St - Des Moines, IA
            IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
            MN-Minneapolis: 600 S 4th St - Minneapolis, MN
            OR-Portland: 1300 Sw 5th Ave - Portland, OR
            TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
            MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO


            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.


            Company Description:

            Wells Fargo & Company (NYSE: WFC) is a diversified, community-based financial services company with $1.9 trillion in assets. Wells Fargo---s vision is to satisfy our customers--- financial needs and help them succeed financially. With approximately 261,000 team members, Wells Fargo serves one in three households in the United States. Wells Fargo & Company was ranked No. 29 on Fortune---s 2019 rankings of America---s largest corporations. News, insights and perspectives from Wells Fargo are also available at Wells Fargo Stories.--Wells Fargo has been helping military members and veterans succeed financially for nearly 170 years. Throughout the years, Wells Fargo has supported military members and veterans through initiatives to recruit and retain team members, and through foundation donations, countless volunteer hours, and event sponsorship.

Keywords: Wells Fargo, West Des Moines , Compliance Consultant 5 - WIM Compliance Strategic Initiative, Other , West Des Moines, Iowa

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