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Compliance Consultant 3: Financial Crimes Testing and Validation

Company: Wells Fargo
Location: West Des Moines
Posted on: October 13, 2019

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. 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 (CB) and Payments, Virtual Solutions and Innovation (PVSI) Enterprise Testing team, is seeking a Compliance Consultant 3 to execute the financial crimes testing plan for all of CB and PVSI. This team member will primarily serve in a review lead capacity for the financial crimes (BSA/AML and OFAC) reviews but may also execute in a tester capacity. They will be responsible for execution of all aspects of the Enterprise Testing methodology including: Plan and Prepare, Execute, Identify Issues and Corrective Actions, and Report and Escalate Results will be expected. Specific Job Responsibilities include: - Lead all phases of BSA/AML/OFAC regulatory compliance test engagements, including planning, scoping, designing testing strategy and test steps, executing testing, presenting findings to management and writing final reports. - Execute process walkthroughs, identifying and understanding primary/key controls, evaluating control design and the suite of controls. - Manage engagements to planned dates, resources, and hours. - Execute throughout the life cycle of the review activities to ensure the adequacy/accuracy of scope, sampling, testing approach, issues, work papers, quality reviews, etc. - Develop subject matter expertise and a thorough understanding of the processes and regulations reviewed. - Receive quality assurance feedback positively and take appropriate actions to address areas requiring attention. - Identify continuous improvement opportunities, and implement routines to drive effectiveness and efficiency. - Influence line of business and control executive teams to resolve issues, develop sound corrective actions, and strengthen internal controls. - Write reports that clearly articulate work performed and summarize testing results to business leadership, executive management, and the Board. Required Qualifications: - 2+ 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 - 2+ years of experience in one or a combination of the following: additional compliance, additional operational risk management, IT systems security, business process management or financial services industry experience; or a BS/BA degree or higher in business or a related field Desired Qualifications: - Intermediate 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 - Strong attention to detail and accuracy skills - 2+ years of financial crimes experience - Experience creating, executing, and documenting compliance testing How to Express Interest in This Job: Wells Fargo invites you to apply for this job at ************************************************************************************************************* & FOCUS=Applicant & SiteId=1 & JobOpeningId=******* & PostingSeq=1. 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. 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 3: Financial Crimes Testing and Validation, Professions , West Des Moines, Iowa

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