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Operational Risk Consultant 5- Regulatory Relations and Compliance Risk

Company: Wells Fargo Bank
Location: West Des Moines
Posted on: December 1, 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 when 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.

Public Affairs brings together teams responsible for engaging with the company's stakeholders. This organization exists to support, strengthen and protect Wells Fargo's reputation by building trust and positive societal impact for all of our stakeholders. Teams within Public Affairs include: Corporate Communications, Corporate Philanthropy and Community Relations; Government Relations and Public Policy; Platform and Digital Services; Sustainability and Corporate Responsibility and Public Affairs Chief Operating Office.

The team partners with internal functional areas that focus on key stakeholders including HR, Marketing, Legal, and Regulatory Relations, to develop and execute on a holistic Public Affairs

The Role
Responsible for identifying and assessing compliance risks, in coordination with the Public Affairs (PA) functions. Assists with facilitating interactions with Regulatory Relations, Compliance, and Wells Fargo Audit Services (WFAS). Provides input into the PA strategic plan to cover material compliance risk activities needing to be addressed. Assists with the implementation of corporate policies across PA functions. Coordinates and supports control effectiveness assurance across compliance processes. Consults with business to develop corrective action plans. Monitors the remediation of compliance risk issues in an effective and timely manner. Provides input and ensures proper execution of compliance procedures established by the PA Risk Operations Control team and IRM governance. Evaluates the adequacy and effectiveness of policies, procedures, processes, systems and internal controls; analyzes business and/or system changes to determine impact, identifies and assesses compliance risk issues.

The Candidate
This is an exciting opportunity for a Compliance Risk professional to join the PA Control Executive team and play a significant role in the newly established PA Regulatory Relations and Audit Coordination team. The successful candidate will be a highly motivated team player that has expertise in regulatory compliance and risk management, is a self-starter who is accustom to working in complex organizations with a diverse group of stakeholders, and someone who is able to initiate action and manage change in a fast paced environment ensuring all deliverables are met. They will also have a demonstrated ability to build and maintain strong credible relationships with key Public Affairs groups including Public Affairs Leaders, Control teams, Independent Risk Management (IRM) and WFAS.

Specific Responsibilities:

--- Complete program analysis against compliance requirements, identify deficiencies, recommend and implement solutions
--- Reinforce compliance requirements via inspection, exception reporting, and credible challenge, reporting results regularly to senior management
--- Conduct root cause analysis of identified issues to ensure business solutions are compliant with not only current regulations and policies, but also focus on sustainable and repeatable processes
--- Promote a strong risk culture, cultivate relationships and foster a team orientation with PA business partners, PA Control team, independent risk management, and WFAS
--- Focus on the details of an issue or task while keeping the big picture in mind
--- Proactively create new guidance and/or guardrails in areas where there is no roadmap, rules or previous foundation to rely upon
--- Adaptable to a dynamic and quickly changing, fast placed work environment where priorities or focus may need to shift frequently
--- Assist with establishing and assuring execution of applicable risk programs including but not limited to:
- Compliance Program
- Regulatory Relations
- Financial Crimes and Anti-Bribery and Corruption (ABC)
- Conduct Risk

Preferred Locations: Charlotte, NC; Minneapolis, MN; Raleigh, NC. May consider other Wells Fargo locations: Atlanta, GA; Dallas, TX; Des Moines, IA; Englewood, CO; Phoenix, AZ; Portland, OR; Salt Lake City, UT; St. Louis, MO; San Antonio, TX

Please note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo

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

Other Desired Qualifications

--- 5+ years of experience managing risk and/or compliance management programs
--- Regulatory compliance experience and subject matter expertise in areas such as financial crimes risk and conduct risk
--- Experience working with regulators (i.e. OCC, FRB, CFPB, FINRA) and regulatory deliverables
--- Professional certifications (e.g. CRCM, CCEP, CAMS)
--- Demonstrated strong control and governance skills
--- Demonstrated ability to evaluate complex programs and initiatives and provide credible challenge to opportunities and concerns
--- Ability to navigate within complexity of matrix organization such as Well Fargo risk culture
--- Deep technical understanding of specific business operations, processes, products, and customer interactions and where they manifest risk.
--- Strong interpersonal, influencing, and communications skills with an ability to interact effectively with stakeholders and regulators, to include virtual, matrixed leadership experience and the ability to effectively manage and build relationships within the business and enterprise Risk function.
--- Demonstrated leadership ability that embodies the Wells Fargo Vision and Values and leadership competencies.
--- Ethical integrity and demonstrated ability to assess and determine when to raise concerns and escalate.
--- Strong analytical ability used to identify risks and confidently raise issues, escalate early and engage in constructive credible challenge and will do so independently when necessary.
--- Proven ability to proactively manage and resolve conflict and effectively defend decisions with objective rationale.
--- Demonstrated ability to solve problems and analyze issues when you collect data from multiple sources and know how to ask the right questions to obtain the information needed to size up a situation properly.

Job Expectations

--- Ability to travel up to 10% of the time

Street Address

NC-Charlotte: 301 S Tryon St - Charlotte, NC
MN-Minneapolis: 550 South 4th St - Minneapolis, MN
NC-Raleigh: 1100 Corporate Center Dr - Raleigh, NC
GA-Atlanta: 1100 Abernathy Road - Atlanta, GA
TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX
IA-Des Moines: 800 Walnut St - Des Moines, IA
AZ-PHX-Central Phoenix: 100 W Washington St - Phoenix, AZ
OR-Portland: 1300 Sw 5th Ave - Portland, OR
UT-Salt Lake City: 1095 E 2100 S - Salt Lake City, UT
MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
CO-Englewood: 9780 S Meridian Blvd - Englewood, CO


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 Bank, West Des Moines , Operational Risk Consultant 5- Regulatory Relations and Compliance Risk, Professions , West Des Moines, Iowa

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