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Compliance Consultant 3

Company: Wells Fargo Bank
Location: Charlotte
Posted on: November 23, 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.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.This position is within Wholesale Testing & Validation (T&V) and specifically on the team responsible for regulatory compliance testing for the Corporate and Investment Banking (CIB) businesses with particular focus on capital markets and sales and trading activity. This team assesses the design and performance of controls set up to mitigate the risk of non- compliance with numerous regulatory and policy requirements applicable to the products and services offered by CIB, namely FINRA, SEC, MSRB and CFTC regulations.The consultant will assist with the development and execution of testing to assess the design and effectiveness of process controls that have been implemented within the lines of business to help ensure compliance with regulatory and policy requirements. - Critical thinking skills and the ability to learn complex regulations and processes are necessary, as well as strong written and verbal communication skills to effectively communicate with various levels of team members within Wholesale T&V, line of business management, and other stakeholders. -Individual responsibilities may include:--- Conducting interviews within the - lines of business to develop a strong understanding of relevant processes and controls performed to mitigate risk of regulatory and policy non-compliance.--- Documenting process walk-throughs that clearly and concisely explain the key process steps and how they are performed.--- Completing timely and efficient tests to conclude on the design and performance of controls and overall effectiveness to specific compliance and policy requirements.--- Documenting test steps and results in a clear and concise manner so they are easily understood by an independent person and support the testing that is completed.--- Communicating testing results to management, with appropriate level of detail.--- Creating process and/or control deficiency remediation recommendations and work with LOB stakeholders and internal risk partners to ensure appropriate corrective actions are defined to resolve weaknesses.--- Ensuring alignment of controls, procedures, and testing to compliance requirements, policies, and practices.

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
    • Intermediate Microsoft Office (Word, Excel, and Outlook) skills
    • Excellent verbal, written, and interpersonal communication skills
    • Strong analytical skills with high attention to detail and accuracy

      Other Desired Qualifications
      --- Experience executing detailed test instructions and conducting reviews to assess controls or process effectiveness in an Audit, Risk, Compliance or Business Controls capacity--- Individual accountability in complex and fast-paced environment. ---- Proven ability to work within a team environment and also possess leadership skills--- Experience with Wells Fargo tools including SHRP.--- Experience in Audit, Compliance, Risk and Testing--- Critical Thinking and Analytical skillsFor Testing and Validation Positions Only:One or more of the following certifications is desired:--- Certified Anti-Money Laundering Specialist (CAMS)--- Certified Financial Crimes Specialist (CFCS)--- Certified Information Systems Auditor (CISA)--- Certified Internal Auditor (CIA)--- Certified Public Accountant (CPA)--- Certified Regulatory Compliance Manager (CRCM)--- Certified Risk and Compliance Management Professional (CRCMP)--- Certified Risk Professional Program (CRP) For Testing and Validation Positions Only

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

      MN-Minneapolis: Min: $62,100 Mid: $87,400
      MO-Saint Louis: Min: $62,100 Mid: $87,400
      IA-Des Moines: Min: $62,100 Mid: $87,400
      IA-West Des Moines: Min: $62,100 Mid: $87,400
      NC-Charlotte: Min: $62,100 Mid: $87,400
      OR-Portland: Min: $62,100 Mid: $87,400
      TX-DAL-North Dallas: Min: $62,100 Mid: $87,400
      TX-San Antonio: Min: $62,100 Mid: $87,400
      SC-Fort Mill: Min: $62,100 Mid: $87,400
      PA-Philadelphia: Min: $68,200 Mid: $96,100
      SD-Sioux Falls: Min: $55,900 Mid: $78,700

      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, Gastonia , Compliance Consultant 3, Professions , Charlotte, North Carolina

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