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Compliance Consultant 4 - Enterprise testing

Company: Wells Fargo Bank
Location: Ankeny
Posted on: November 21, 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. 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 & Validation, under Enterprise Testing, is seeking an experienced compliance or audit professional to join the Team. The Compliance Consultant 4 role will be responsible for control testing to ensure compliance with regulatory requirements and corporate policies applicable to Marketing. 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:

  • Execute end-to-end business process walk throughs, identifying risks and primary/key controls, evaluating control design, and testing the effectiveness of manual and automated 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 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
    • 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 work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members
      • Solid critical thinking skills

        Other Desired Qualifications
        • Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
        • Strong Marketing Compliance or operational experience
        • Full cycle/end to end Audit or testing experience that includes scoping/planning, script or plan creation, execution, reporting and consulting
        • Experience leading full scope of audits or test reviews
        • Experience in evaluating the effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifying issues resulting from internal and/or external compliance examinations.
        • Experience compiling and creating reports with findings and recommendations for compliance risk management and applicable businesses.
        • Ability to take initiative and work independently with minimal supervision in a structured environment
        • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex
        • Understand sensitive and confidential information and assert privacy/legal discretion.
        • Experience providing "credible challenge" to business partners when necessary, with the ability to lead through influence.
        • Experience in Audit, Compliance, Risk and Testing
        • Critical Thinking and Analytical skills

          Job Expectations
          • Ability to travel up to 5% of the time

            Salary Information
            The salary range displayed below is based on a Full-time 40 hour a week schedule.

            MN-Minneapolis: Min: $80,500 Mid: $115,000
            MO-Saint Louis: Min: $80,500 Mid: $115,000
            IA-Des Moines: Min: $80,500 Mid: $115,000
            IA-West Des Moines: Min: $80,500 Mid: $115,000
            NC-Charlotte: Min: $80,500 Mid: $115,000
            OR-Portland: Min: $80,500 Mid: $115,000
            TX-DAL-North Dallas: Min: $80,500 Mid: $115,000
            TX-San Antonio: Min: $80,500 Mid: $115,000
            SC-Fort Mill: Min: $80,500 Mid: $115,000
            PA-Philadelphia: Min: $88,600 Mid: $126,500
            SD-Sioux Falls: Min: $72,500 Mid: $103,500

            Street Address
            MN-Minneapolis: 600 S 4th St - Minneapolis, MN
            MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
            IA-Des Moines: 800 Walnut St - Des Moines, IA
            IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
            NC-Charlotte: 401 S Tryon St - Charlotte, NC
            OR-Portland: 1300 Sw 5th Ave - Portland, OR
            TX-DAL-North Dallas: 14241 Dallas Parkway - Dallas, TX
            TX-San Antonio: 4101 Wiseman Blvd - San Antonio, TX
            SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC
            PA-Philadelphia: 101 N Independence Mall E - Philadelphia, PA
            SD-Sioux Falls: 4811 N 4th Ave - Sioux Falls, SD


            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, Ankeny , Compliance Consultant 4 - Enterprise testing, Professions , Ankeny, Iowa

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