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Operational Risk Consultant 4 / Wealth & Investment Manageme

Company: Wells Fargo
Location: West Des Moines
Posted on: September 8, 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.Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.WIM's Conduct Risk Control Reporting and Analysis Team is responsible for partnering across WIM and IRM functions. The role of the team is to provide subject matter expertise and drive the development of robust analytics that "tell the story" related to conduct risk in WIM.-- This includes developing consistent and effective reporting to drive action and results.--WIM's Conduct Risk Control Reporting and Analysis Team is responsible for partnering across WIM and IRM functions and provide subject matter expertise to drive the development of robust analytics that "tell the story" related to conduct risk in WIM.--This includes developing consistent and effective reporting to drive action and results.--The Governance and Reporting Consultant will implement procedures, controls, and trend analysis to help ensure proactive identification, detection, and root cause analysis across all Conduct Risk types.--The consultant will review Conduct related data sets and develop narratives that capture emerging risks, long-term trends, and recommendations to address those risks.--The consultant will provide insight and rationale that, in coordination with IRM activities, ensures Conduct related policy requirements are met.--Specifically the role will be responsible for:

  • Assist in providing explanations for metric triggers in partnership with Data Analytics, Reporting & Administration team
  • Assist with development of key risk indicators and metrics for Conduct Risk
  • Assist in enhancement and development of regulatory reporting for exams, MRAs, other regulatory actions and monitoring
  • Contribute to report aggregation (single story developed from various reporting sources)
  • Requirement creation for WIM Control Analytics team along with UAT and validation upon delivery
  • Ensure meaningful and actionable conduct reports and metrics and partner with WIM Business Control teams to understand root cause and control enhancements
  • Participate in governance, materials, and insights for Committee Reporting (Operational Risk & Compliance, WIM Risk & Control Committee)
  • Participate in reporting Readout and Issue/initiative follow through, including :
    • State of Ethics Report
    • WIM Quarterly Risk Review
    • Policy review for applicability/impact to Conduct Risk Control Reporting, including:
      • Allegation Management Policy
      • Anti-Bribery and Corruption Policy
      • Complaints Management Policy
      • Customer Harm Assessment Policy for Sales Practices
      • Ethics Risk Management and Oversight Methodology
      • Speak up and Non-retaliation Policy

        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
          • Ability to articulate complex concepts in a clear manner

            Other Desired Qualifications
            • Proven experience in building partnerships, collaborating and influencing at senior levels and across lines of business as well as with Corporate partners
            • Significant knowledge of WIM LOBs -- experience with Wealth Management-Abbot Downing and/or IRT in particular are desired
            • Demonstrable understanding of the WIM supervision environment
            • Strong understanding of Conduct Risk and related risk types
            • Significant experience working with cross-functional business team implementing and driving consensus for business focused reporting initiatives
            • Policy review, development, and guidance experience
            • Reporting and data manipulation experience using EXCEL or SQL
            • Experience creating visualizations using Tableau
            • Ability to create and edit PowerPoint presentations



              Street Address
              AZ-Chandler: 2600 S Price Rd - Chandler, AZ
              AZ-Chandler: 2700 S Price Rd - Chandler, AZ
              AZ-PHX-Northwest Phoenix: 2222 W Rose Garden Ln - Phoenix, AZ
              IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
              IA-West Des Moines: 800 S Jordan Creek Pkwy - West Des Moines, IA
              MN-Minneapolis: 255 2nd Ave S - Minneapolis, MN
              MN-Shoreview: 1801 Parkview Dr - Shoreview, MN
              MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
              NC-Charlotte: 401 S Tryon St - Charlotte, NC
              NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
              CA-SF-Financial District: 333 Market St - San Francisco, CA
              CA-SF-South Of Market Area: 45 Fremont Street - San Francisco, CA


              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.

Keywords: Wells Fargo, West Des Moines , Operational Risk Consultant 4 / Wealth & Investment Manageme, Professions , West Des Moines, Iowa

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