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Compliance Consultant 4 - Wholesale/Financial Crimes

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.Wholesale Testing & Validation has an exciting opportunity on the Financial Crimes Testing & Validation Team. This position is for a Compliance Consultant 4 who will be responsible for supporting regulatory compliance financial crimes validation activities across Wholesale Banking.Key responsibilities may include (but are not limited to):

  • Working with Wholesale Banking complex lines of business complete validation coverage activities to assess the adequacy of corrective actions that address the risk and control issues identified by regulators, WFAS, or compliance testing examinations.
  • Exhibit creditable challenge and evaluate the adequacy and effectiveness of policies, procedures, processes, and internal controls while maintaining professional independence throughout the engagement. The ability to quickly learn different BSA processes across multiple Lines of Business.
  • Managing relationships with all line of defense testing teams (including but not limited to the following groups: WFCRC, FCRM, and WFAS).
  • Document end to end process flows including dependencies, controls, inputs/outputs, systems, gap identification, etc.
  • Report findings and provide recommendations to both Wholesale Banking and key Stakeholders.
  • Provide compliance expertise and potential solutions to identified gaps and associated risks as applicable to the different Wholesale lines of business

    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
      • Solid critical thinking skills
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Experience creating, executing, and documenting compliance testing
      • Exposure to Wells Fargo s Shared Risk Platform (SHRP)
      • Anti Money Laundering (AML) and Bank Secrecy Act (BSA) experience
      • Certified Anti Money Laundering Specialist (CAMS)
      • Certified Internal Auditor (CIA)
      • An active Certified Public Accountant (CPA) designation
      • An active Certified Regulatory Compliance Manager (CRCM) designation

        Other Desired Qualifications
        • Experience in Audit, Compliance, Risk and Testing
        • Certified Financial Crimes Specialist (CFCS)
        • Certified Information Systems Auditor (CISA)
        • Certified Risk and Compliance Management Professional (CRCMP)
        • Certified Risk Professional Program (CRP) For Testing and Validation Positions Only
        • 3+ years of conducting compliance testing or auditing of regulatory reporting requirements.
        • Experience leading regulatory compliance reviews
        • Experience creating, executing, and documenting compliance and/or operational risk testing
        • Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environmentOne 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



            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: bank, fiduciary, finance, financial advisor, financial planner, financial professional, financial service, merchant service solution, security, stock broker

Keywords: Wells Fargo, Des Moines , Compliance Consultant 4 - Wholesale/Financial Crimes, Other , Des Moines, Iowa

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