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Compliance Consultant 5 / Enterprise Functions Compliance

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. 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.We have 4 exciting opportunities for Compliance Risk professionals to join the Enterprise Functions Compliance team and play a significant role conducting compliance risk-management oversight for Enterprise Functions. The Compliance Consultants will be required to build strong relationships with risk peers/partners; key business and staff group partners; and senior level management in the Enterprise Functions group communities, providing subject matter expertise in the regulatory compliance arena.Position 1: As part of the role, the successful candidate will serve as the Compliance subject matter expert for various employment laws and regulations, such as the Americans with Disabilities Act, Title I (ADA), the Family and Medical Leave Act (FMLA) and other job protected leave laws, and the Uniformed Services Employment and Reemployment Rights Act (USERRA), along with other regulatory sources. The position will consult with Compliance, other risk functions, and the Legal Department as necessary in relation to his or her assigned regulatory requirements, topics, major compliance requirements, issues, or complaints. The position will oversee and assess business compliance with (and related controls for) applicable regulatory sources, as well as associated major compliance requirements and corporate policies and procedures. Serve as the Compliance subject matter expert for assigned regulatory sources, such as ADA, FMLA and other job protected leave laws, USERRA and other employment related laws and regulations. Perform activities required under the Wells Fargo Compliance Program Policy and related policies and proceduresReview legal regulatory alerts and regulatory requirements to determine applicability to lines of businesses and support functions. Participate in enterprise/cross business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans. Review new Wells Fargo policies and changes to existing policies to determine applicability to laws and regulations supported. Coordinate compliance training and awareness as needed. Support internal testing, audits or regulatory examinations as needed, including review of test scripts for testing programs managed by Testing and Validation teams. Collaborate effectively with Human Relations, Compliance, Legal and other partners. Assist team members with ad hoc assignmentsPosition 2: Serve as the Compliance subject matter expert for assigned regulatory sources, such as the Employment Retirement Income Securities Act (ERISA), the Consolidated Omnibus Budget Reconciliation Act (COBRA), Medicare Part D, the Patient Protection and Affordable Care Act of 2010 (PPACA) and state group benefit laws, and other employment related laws and regulations. Perform activities required under the Wells Fargo Compliance Program Policy and related policies and procedures. Review legal regulatory alerts and regulatory requirements to determine applicability to lines of businesses and support functions. Participate in enterprise/cross business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans. Review new Wells Fargo policies and changes to existing policies to determine applicability to laws and regulations supported. Coordinate compliance training and awareness as needed. Support internal testing, audits or regulatory examinations as needed, including review of test scripts for testing programs managed by Testing and Validation teams. Collaborate effectively with Human Relations, Compliance, Legal and other partners. Assist team members with ad hoc assignmentsPosition 3: As part of the role, the successful candidate will serve as the Compliance subject matter expert for various employment laws and regulations, such as the Consumer Credit Protection Act (CCPA), the Fair Labor Standards Act (FLSA), the Older Workers Benefits Protection Act (OWBPA), the Workers Adjustment Retaining and Notification Act (WARN) and other regulatory sources. The position will consult with Compliance, other risk functions, and the Legal Department as necessary in relation to his or her assigned regulatory requirements, topics, major compliance requirements, issues, or complaints. The position will oversee and assess business compliance with (and related controls for) applicable regulatory sources, as well as associated major compliance requirements and corporate policies and procedures. Serve as the Compliance subject matter expert for assigned regulatory sources, such as CCPA, FLSA, OWBPA, WARN and other employment related laws and regulations. Perform activities required under the Wells Fargo Compliance Program Policy and related policies and procedures. Review legal regulatory alerts and regulatory requirements to determine applicability to lines of businesses and support functions. Participate in enterprise/cross business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans. Review new Wells Fargo policies and changes to existing policies to determine applicability to laws and regulations supported. Coordinate compliance training and awareness as needed. Support internal testing, audits or regulatory examinations as needed, including review of test scripts for testing programs managed by Testing and Validation teams. Collaborate effectively with Human Relations, Compliance, Legal and other partners. Assist team members with ad hoc assignments.Position 4: As part of the role, the successful candidate will serve as the Compliance subject matter expert for various employment laws and regulations, such as Regulation Z, Employment and Benefit Plan Tax Reporting and other regulatory sources. The position will consult with Compliance, other risk functions, and the Legal Department as necessary in relation to his or her assigned regulatory requirements, topics, major compliance requirements, issues, or complaints. The position will oversee and assess business compliance with (and related controls for) applicable regulatory sources, as well as associated major compliance requirements and corporate policies and procedures. Serve as the Compliance subject matter expert assigned regulatory sources, such as Regulation Z, Employment and Benefit Plan Tax Reporting and other employment related laws and regulations. Perform activities required under the Wells Fargo Compliance Program Policy and related policies and procedures. Review legal regulatory alerts and regulatory requirements to determine applicability to lines of businesses and support functions. Participate in enterprise/cross business initiatives to ensure successful implementation of applicable regulatory changes or other required action plans. Review new Wells Fargo policies and changes to existing policies to determine applicability to laws and regulations supported. Coordinate compliance training and awareness as needed. Support internal testing, audits or regulatory examinations as needed, including review of test scripts for testing programs managed by Testing and Validation teams. Collaborate effectively with Human Relations, Compliance, Legal and other partners. Assist team members with ad hoc assignments

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
    • Knowledge and understanding of state and federal employment laws
    • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry
    • Knowledge and understanding of banking: regulations, compliance, policies, process, and procedures
    • Exposure to Wells Fargo s Shared Risk Platform (SHRP)
    • Ability to prepare presentations, management reporting, and statistical analysis

      Other Desired Qualifications
      Experience in employment related laws and regulations, such as ADA, FMLA, USERRA and other employment related laws and regulations Experience with policy review, analysis and implementation Experience supporting Regulatory Compliance programs in a large financial institution



      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, compliance, corporate, corporate attorney, counsel, court, internal, legal, legal affairs, llp

Keywords: Wells Fargo, West Des Moines , Compliance Consultant 5 / Enterprise Functions Compliance, Professions , West Des Moines, Iowa

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