WestDesMoinesRecruiter Since 2001
the smart solution for West Des Moines jobs

Compliance Consultant 5 - SCRA/MLA Compliance Team

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. 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 corporate, business, company, compliance department, compliance office, corporate attorney, counsel, internal, legal, llp

Keywords: Wells Fargo, West Des Moines , Compliance Consultant 5 - SCRA/MLA Compliance Team, Professions , West Des Moines, Iowa

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Other Professions Jobs


Work from Home Benefit Consultants (FT/PT)
Description: Solid 25 year old health benefits discount company is looking for people with a desire to help
Company: JMS Benefits
Location: Ames
Posted on: 06/25/2019

Truck Driver - Earn Up to $180,000/Year + $10,000 Sign-On Bo
Description: Now Hiring CDL-A Team Drivers 10,000 Sign-On Bonus - Earn up to 180,000 / year--- Team Partner Matching Available Recent Grads Welcome Ask about our industry leading training and opportunities for (more...)
Company: Transport America - Teams
Location: Des Moines
Posted on: 06/25/2019

Lease Drivers - Choose Home Time - $0 Down
Description: New Lease 2 Years - 2 Yr Lease to Own - No CC, No Down, No Balloon CopyCDL Truck Driver: Two Year Lease-to-Own: No Money Down, No Credit Check, No Balloon Payment Walkaway Lease24 Months and You OWN (more...)
Company: US Xpress - Lease Purchase
Location: Des Moines
Posted on: 06/25/2019


Experienced CDL-A Drivers Wanted: Medical, 401k, and Paid Vacation
Description: Experienced CDL-A Truck DriversJoin Swift s Driving Force.Swift values the years of experience under your belt and wants you to join the most powerful fleet on the road. To be a powerful force, you have (more...)
Company: swift transportation - experienced
Location: Des Moines
Posted on: 06/25/2019

CDL A OTR Truck Drivers - $10,000 Sign On Bonus!
Description: California Overland is a family-owned trucking company specializing in temperature-controlled freight. The company is based in Minnesota serving all 48 contiguous states. We have a great customer base (more...)
Company: California Overland
Location: Des Moines
Posted on: 06/25/2019

Class A CDL Driver - $5K Sign-On - $65K Avg Pay (Des Moines,IA)
Description: Class A CDL Driver - 5K Sign-On - 65K Avg Pay - Ankeny, IAAbout the Job: 5,000 Sign-On Bonus for experienced drivers 70,000 Avg. 1st-year earnings. All loads
Company: McLane Company
Location: Des Moines
Posted on: 06/25/2019

OTR CDL A Lease Purchase Truck Drivers - Earn up to $4,300/Week!
Description: BMS Unlimited is now hiring OTR CDL A Lease Purchase Truck Drivers MUST HAVE 1 YEAR OTR EXP What We Offer: Earn up to 4,300/Week
Company: BMS Unlimited
Location: Des Moines
Posted on: 06/25/2019

Bid On Local Plumbing Jobs - Reach New Customers In Your Area
Description: Over 25 million homeowners have trusted HomeAdvisor 1800Contractor to help them find quality professionals with the expertise to turn their home improvement
Company: HomeAdvisor
Location: Des Moines
Posted on: 06/25/2019

Class A Drivers: Drivers Wanted! Be Your Own Boss!!
Description: Be Your Own Boss with Network 1 ABOUT USMost company's set you up to fail and keep reseating the truck every 6 months, we set you up to make 100k plus per year and own the truck within 3 years.--We want (more...)
Company: Network 1 Logistics LLC
Location: Des Moines
Posted on: 06/25/2019

CDL-A Owner Operators - Regional and OTR Routes Available
Description: D7 Transports Inc. is Seeking Owner-OperatorsFlatbed, Reefer, and Auto-Hauls AvailableRegional
Company: D7 Transports
Location: Ames
Posted on: 06/25/2019

Log In or Create An Account

Get the latest Iowa jobs by following @recnetIA on Twitter!

West Des Moines RSS job feeds