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Compliance Manager 3

Company: Wells Fargo
Location: Des Moines
Posted on: June 16, 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 companyWithin 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 Enterprise Functions Testing and Validation (EF T&V) team within Enterprise Testing is responsible for planning and executing issue validations in accordance with Operational Risk and Compliance Testing and Validation Standards and Procedures and the Issue Management Policy. We are seeking a candidate to lead a team responsible for planning and executing compliance and operational risk testing and issue validation activities for Enterprise Functions.The successful candidate will lead and develop a team of consultants responsible for the execution of validation review activities in order to provide an independent assessment of the appropriateness, completeness, effectiveness and sustainability of corrective actions taken to address identified issues within Enterprise Functions. This individual will be responsible for executing against the strategic validation plan and credibly challenging business partners in order to provide quality validation results that improve business practices. This individual will also have responsibility for engaging and supporting ongoing project communications / reporting to leadership and will maintain and engage with a broad range of professional relationships and key contacts across the enterprise.Responsibilities for this position include, but are not limited to: Lead a team in executing issue and corrective action validation activities. Plan and lead validation testing within required time-frames and in accordance with established processes and procedures including the Operational Risk and Compliance Testing and Validation Standards and Issue Management Policy Effectively communicate the validation process, status, and results to business and risk partners Provide credible challenge and recommendations resulting from validation work to risk and business partners Facilitate an efficient and valued validation review process Assist with program development, planning, and special initiatives Track, maintain, and provide issue validation schedule to management and stakeholders Review Validation Testing quality assurance metrics and take appropriate actions to address areas requiring attention Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning all compliance and operational risk functions reviewed. Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.***Preferred locations are listed however the team my be open to other locations within the Wells Fargo footprint***As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them. Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

Required Qualifications
  • 8+ 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 8+ years of IT systems security, business process management or financial services industry experience, of which 4+ years must include direct experience in compliance, operational risk management, or a combination of both
  • 3+ years of management experience

    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 articulate complex concepts in a clear manner
    • A BS/BA degree or higher
    • Ability to articulate complex concepts in a clear manner
    • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
    • Advanced Microsoft Office skills
    • Excellent verbal, written, and interpersonal communication skills
    • Solid critical thinking skills
    • Strong analytical skills with high attention to detail and accuracy
    • Leadership skills including the ability to influence effectively in a matrix environment

      Other Desired Qualifications
      Experience with risk assessment and consultation with an ability to view risk holistically Experience interpreting, analyzing and assessing unfamiliar regulations that would include businessprocess, procedures and control impact evaluation Prior experience building a test script or audit plan from scratch Virtual leadership experience with the ability to effectively drive results, provide feedback/direction, andmanage and build relationships with leaders and team members in a geographically dispersed teamenvironment Experience providing credible challenge to business partners when necessary, with the ability to leadthrough influence Experience testing policy and procedures/control testing Experience leading regulatory compliance reviews Experience assessing test scope, designing test scripts, as well as executing, documenting andreporting on compliance testing Regulatory Compliance Manager (CRCM) Certification or similar risk related certification

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

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

        IA-Des Moines: Min: $106,400 Mid: $152,000
        TX-DAL-North Dallas: Min: $106,400 Mid: $152,000
        MN-Minneapolis: Min: $106,400 Mid: $152,000
        OR-Portland: Min: $106,400 Mid: $152,000
        NC-Charlotte: Min: $106,400 Mid: $152,000
        TX-San Antonio: Min: $106,400 Mid: $152,000
        MO-Saint Louis: Min: $106,400 Mid: $152,000


        Street Address
        MN-Minneapolis: 600 S 4th St - Minneapolis, MN
        MO-Saint Louis: 100 N Jefferson Ave - Saint Louis, MO
        IA-Des Moines: 666 Walnut St - 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


        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.
        Associated topics: attorney corporate, business, compliance office, corporate attorney, courtroom, internal, lawyer, legal, legal affairs, llp

Keywords: Wells Fargo, Des Moines , Compliance Manager 3, Executive , Des Moines, Iowa

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