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Compliance Consultant

Company: Wells Fargo
Location: West Des Moines
Posted on: October 12, 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.Responsibilities include but are not limited to the following in support of the Compliance Regulatory Change Management, Policy Management and New Business Initiatives Team:

  • Developing and implementing reporting, metrics and monitoring for Regulatory Change and Policy Management to support oversight for the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management, and reporting on the state of the Compliance Program to senior compliance leaders, Committees, and appropriate business management
  • Implementing and managing issue management process
  • Providing project management and milestone tracking, to include in support of the Compliance Plan and Enterprise Annual Compliance Plan, as required
  • Developing and implementing a comprehensive and efficient communications plan and stakeholder engagement approach
  • Develop and implement risk and issue escalation process
  • Supporting Regulatory and Audit Engagement
  • May developing, maintaining and implementing procedures and training
  • Other duties and responsibilities as assigned by manager
  • Manage a team to support the activities described above
  • May engage with the Legal Department with respect to current and emerging compliance risks; may interact with Audit and/or regulators on compliance-related topics
  • Participates in setting annual performance objectives, identifying and ensuring completion of team member compliance training requirements, and defining compliance risk management performance goals for Compliance team members and directly impacts incentive compensation decisions
  • Build strong partnerships and collaborate effectively across the Compliance organization, front-line, Independent Risk Management and Wells Fargo Audit Services (WFAS)
  • Partner, support and ensure execution of compliance initiatives across the Strategy and Operations team, including working with partners to clarify and define complex Compliance Program initiative goals, requirements, milestones, action items, and accountabilities and assist with execution across Wells Fargo Compliance
  • Provide leadership in the integration/implementation of programs with cross functional business partners, recognizing the significance of competing priorities and strategies, and adjusting as necessary

    Required Qualifications
    • 12+ 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 12+ years of IT systems security, business process management or financial services industry experience, of which 6+ 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
      • Outstanding problem solving and decision making skills
      • Solid critical thinking skills
      • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
      • Ability to articulate complex concepts in a clear manner

        Other Desired Qualifications
        • Strong reporting and metrics development skills
        • Experience consulting, influencing and partnering with senior executives, leadership, partners and peers
        • Ability to provide credible challenge, while exercising sound judgement and professionalism, in order to address a broad spectrum of risk issues, including how they apply to the businesses.
        • Ability to identify and present processes / operational enhancements
        • Analytical Thinking
        • Conceptual Thinking
        • Conflict Resolution
        • Decision Making
        • Leadership

          Job Expectations
          • Ability to travel up to 25% of the time


            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 , Compliance Consultant, Professions , West Des Moines, Iowa

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