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Compliance Consultant 5 - Business Unit Compliance Officer Middle Market Sales

Company: Wells Fargo Bank
Location: Gastonia
Posted on: December 5, 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.Wholesale Banking provides financial solutions to businesses across the United States and globally. -- Our four major business lines include Corporate & Investment Banking, Commercial Banking, Commercial Real Estate, and Wells Fargo Commercial Capital. -- We also have groups in credit risk, group risk, finance, marketing, human relations, and the Wholesale Chief Operating Office that support our businesses.This role is for a Senior Business Unit Compliance Officer, regulatory compliance subject matter expert, responsible for developing, implementing and monitoring risk-based compliance programs to assure compliance with federal, state, agency, legal and regulatory requirements. This position supports the Corporate Investment Bank Fixed Income Middle Market-Corporations and Public Entities sales team.This is a complex business unit and requires regulatory compliance risk expertise. The role will serve advisor to the line of business for projects and initiatives with high risk to identify and mitigate regulatory risk in all business activities.Designs and develops the most complex testing strategies, methodologies and analyses; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations.Consults with business to develop corrective action plans and effectively manages change to ensure regulatory compliance.Reports findings and recommendations to executive management or management committee member/head of business. Manages and/or coordinates site, agency or other examinations conducted by external parties.Leads project teams and mentors lower level staff. May directly manage 1-2 consultants.Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit------s risk appetite and all risk and compliance program requirements.

Required Qualifications

  • Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
  • 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
    • Ability to achieve high production and quality standards
    • Ability to create and improve process through strategic thinking
    • Ability to design or develop automated solutions to business problems
    • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
    • Knowledge and understanding of securities industry
    • Strong risk management and compliance skills
    • Ability to be flexible and adjust plans quickly to meet changing business needs
    • Ability to partner as a team member resource
    • Ability to take initiative, identify opportunities and implement change
    • Strong attention to detail, including accuracy in grammar and a sharp focus on eliminating errors
    • Ability to interact with all levels of an organization
    • Advanced Microsoft Office skills
    • Excellent verbal, written, and interpersonal communication skills
    • Strong analytical skills with high attention to detail and accuracy

      Job Expectations
      • Registration for FINRA Series 24 must be completed within 1 year of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
      • Ability to travel up to 10% of the time

        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, Gastonia , Compliance Consultant 5 - Business Unit Compliance Officer Middle Market Sales, Other , Gastonia, North Carolina

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