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Compliance Consultant 5

Company: Wells Fargo Bank
Location: Ankeny
Posted on: November 22, 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.Responsible for monitoring to assure compliance with federal, state, agency, legal and regulatory requirements. Works with senior compliance and business management to identify, formulate and implement compliance risk policies, procedures and controls for the respective business and/or functional area. Provides compliance risk expertise to business projects and initiatives. Represents assigned area on all compliance risk matters requiring review and approval by senior management.Specific responsibilities include, but are not limited to:

  • Provide subject matter expertise, advice, credible challenge and oversight of compliance matters for Personal and Small Business Lending activities
  • Ensure consistent implementation and execution of regulatory requirements and policy requirements across Personal and Small Business Lending activities
  • Work directly with front line on compliance issues, including root cause analysis, corrective actions and commitment to customer initiatives
  • Ensure consistent oversight and participation in new business initiative activities including risk reviews, credible challenge and recommendations
  • Conduct business process reviews, provide compliance reviews, feedback and approval for marketing materials, collateral and compliance disclosures
  • Facilitate enterprise policy review and feedback gathering as well as policy implementation activities across Personal and Small Business Lending activities and provide advice and counsel for leadership
  • Work with the front line business control teams on the development of controls to satisfy regulatory or compliance policy requirements
  • Keep abreast of consumer complaints to determine impact to the organization, identifying negative trends and recommending specific courses of action to address
  • Work with Third Party Risk Management program teams and engagement managers in evaluating risk associated with third party outsourcing engagement and managing expectations for addressing ongoing compliance requirements and assurance or testing requirements
  • Evaluate Enterprise Testing efforts to provide feedback and input into testing scope, conclusions and validation results
  • Direct participation on WFAS Audit engagements and regulatory compliance examinations assess corrective action plans to ensure they address root causes and result in sustainable control enhancements
  • Support the timely closure of required action plans and ensure timely escalations of issues as needed.
  • Develop and maintain effective relationships within the front line control executive teams and independent risk management partners**Please note that posting duration may be shortened based on job seeker volume.**

    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
      • A BS/BA degree or higher

        Other Desired Qualifications
        • Knowledge of risk-based regulatory compliance including the industry and laws and regulations that apply to areas of responsibility
        • Strong understanding of business processes, risk and control requirements
        • Seasoned manager and ability to integrate compliance requirements across a large, highly complex business
        • Serves as regulatory compliance advisor to business management
        • Communicate and coordinate with senior management, Front Line Control Executive teams, the Law Department, Internal Audit and external customers as necessary
        • Ability to identify issues, risk and escalate to the appropriate party Advanced negotiation / communication skills
        • Business knowledge of Small Business and Personal Lending

          Job Expectations
          • Ability to travel up to 10% of the time

            Street Address
            MN-Minneapolis: 600 S 4th St - Minneapolis, MN
            MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
            TX-DAL-Downtown Dallas: 1445 Ross Ave - Dallas, TX
            TX-Irving: 250 E John Carpenter Freeway - Irving, TX
            IA-Des Moines: 800 Walnut St - Des Moines, IA
            IA-West Des Moines: 7001 Westown Pkwy - West Des Moines, IA
            NC-Charlotte: 301 S College St - Charlotte, NC
            NC-Charlotte: 301 S Tryon St - Charlotte, NC
            NC-Charlotte: 401 S Tryon St - Charlotte, NC
            NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
            NC-Charlotte: 550 S Tryon St - Charlotte, NC
            SC-Fort Mill: 3480 State View Blvd - Fort Mill, SC


            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 Bank, Ankeny , Compliance Consultant 5, Professions , Ankeny, Iowa

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