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Compliance Consultant 4 - UDAAP and Sales Practices

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.Within Wells Fargo Compliance, the Enterprise Testing group is responsible for establishing and maintaining a consolidated Enterprise Testing program at the corporate level. Enterprise Testing is responsible for developing a common methodology and standards, providing governance and oversight, executing testing; and conducting horizontal reviews. Testing and validation teams are responsible for implementing the Enterprise Testing methodology and standards, and executing group- specific testing.The Consumer Banking and Payments, Virtual Solutions and Innovation (PVSI) Testing and Validation - UDAAP/Sales Practices Testing Team is seeking is seeking a seasoned Compliance Consultant to assist in leading and executing control and transactional testing of UDAAP and Sales Practices risks as they relate to Consumer Banking and PVSI associated business lines and processes. Specifically, these business lines may include Regional Banking, Small Business Lending, Regional Banking Relationship Management, Practice Finance and Sales & Service Conduct Oversight. This Compliance Consultant will conduct compliance risk testing activities for regulatory risks specific to UDAAP and Sales Practices. This position will interact with the UDAAP Program Office, Sales Practices Oversight within Conduct Risk, Legal Department, Business Control Executive teams, vertical Testing and Validation teams, line of business Operational Risk and Compliance teams, Wells Fargo Audit Services, and other oversight groups.In addition to the responsibilities above, this position will have responsibility for:

  • Developing testing scripts for UDAAP and Sales Practices risk reviews
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls
  • Participating in complex testing engagements for UDAAP and Sales Practices risks impacting Regional Banking, Small Business Lending, Regional Banking Relationship Management, Practice Finance, and Sales & Services Conduct Oversight
  • Drafting reports of findings and providing recommendations to business line management
  • Consulting with various issue owners to assist in developing corrective action plans
  • Assist in effectively managing change to ensure regulatory compliance
  • May assist with site, agency or other examinations conducted by internal/external parties

    Required Qualifications
    • 6+ 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 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ 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
      • Risk and regulatory compliance experience
      • Ability to articulate complex concepts in a clear manner
      • Knowledge and understanding of audit methodologies and tools that support audit processes
      • Outstanding problem solving and decision making skills
      • Ability to identify and evaluate trends, isolate root cause, and provide swift/thorough resolution
      • Strong organizational, multi-tasking, and prioritizing skills
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Knowledge and understanding of complex regulatory/compliance issues and potential solutions
      • A BS/BA degree or higher

        Other Desired Qualifications
        • 2+ years of compliance and controls testing experience
        • 4+ years experience developing testing scripts and methodology for UDAAP and Sales Practices
        • Moderate knowledge of product and process within Consumer Banking lines of business
        • Experience in Audit, Compliance, Risk and Testing
        • Understanding of risk based control testing, including assessing the adequacy of design and testing the effectiveness of internal controls
        • Strong presentation, documentation, and organizational skills
        • Experience drafting issues and executive summary reports
        • High initiative, proactive, and comfort with multi-tasking
        • CRCM, CIA, or other Compliance/Audit Certifications



          Street Address
          TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
          IA-Des Moines: 800 Walnut St - Des Moines, IA
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN
          MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
          IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
          NC-Charlotte: 401 S Tryon St - Charlotte, NC
          OR-Portland: 1300 Sw 5th Ave - Portland, OR
          TX-DAL-North Dallas: 14241 Dallas Parkway - Dallas, TX
          SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
          PA-Philadelphia: 101 N Independence Mall E - Philadelphia, PA
          SD-Sioux Falls: 4811 N 4th Ave - Sioux Falls, SD


          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 4 - UDAAP and Sales Practices, Other , West Des Moines, Iowa

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