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Compliance Consultant 5 - (Business Process Testing Lead)

Company: Wells Fargo
Location: Des Moines
Posted on: May 19, 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. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take 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.The Enterprise Functions Testing and Validation (T&V) team within Enterprise Testing is responsible for planning and executing validation in accordance with Independent Monitoring, Testing and Validation Policy, the Enterprise Testing Operating Procedures and the Issue Management Policy. We are seeking an experienced candidate who will be responsible for overseeing operational risk control testing, specifically Business Process Testing, activities within Enterprise Functions.Specific Job Responsibilities:The successful candidate will focus on overseeing and managing control testing review activities in order to assess adherence to regulatory and internal policy requirements and evaluate effectiveness of business processes, controls and risk management activities within Enterprise Functions. This individual will be responsible for executing against the Enterprise Functions Test Plan and Schedule and providing appropriate credible challenge with business partners in order to provide quality control testing results that improve business practices. Responsibilities for this position include, but are not limited to:

  • Oversee and direct the day to day activities of control testing engagement review activities to ensure completion within scheduled timeframes and assist with program development, planning, and scheduling
  • Support and develop team member's knowledge and understanding of compliance review activities and ensure reviews are designed and executed effectively to evaluate risks
  • Exercise effective communications and promote positive client relations with business line team members and management
  • Collaborate with and communicate emerging risks, review activity findings, and recommendations to senior management and risk partners
  • Facilitate an efficient and valued review activity process through succinctly written test work summaries and control testing reports; ensure risks are understood and mitigated, provide credible challenge to the business, consistent with Wells Fargo's Vision and Values
  • Maintain authoritative knowledge and full understanding of laws and regulations, regulatory guidance, policy and procedure concerning all compliance functions reviewed and apply risk management principles effectively
  • Understand and effectively apply the Corporate Regulatory Compliance Policy and Procedures and Operational Risk and Compliance Testing and Validation Standards

    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
      • Knowledge and understanding of regulatory compliance requirements surrounding the financial services industry
      • Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls; and identifying issues resulting from internal and/or external compliance examinations
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Leadership skills including the ability to influence effectively in a matrix environment
      • Ability to articulate complex concepts in a clear manner
      • A BS/BA degree or higher

        Other Desired Qualifications
        • Experience in Audit, Compliance, Risk and Testing
        • Experience involving the review of major requirements, risk assessments, business processes or consulting with lines of business on regulatory controls
        • Experience with the risk reporting tools to include, but not limited to: SHRP, SHRP Reporting, etc
        • Applicable industry certifications including CRCM, CRSP, CAMS, CIA, CFCS, CISA, etc.
        • In-depth understanding of Wells Fargo risk management policies and programs
        • Critical Thinking and Analytical skills

          Street Address
          CA-SF-Financial District: 333 Market St - San Francisco, CA
          MN-Minneapolis: 600 S 4th St - Minneapolis, MN
          NY-New York: 150 E 42nd St - New York, NY
          MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO
          IA-Des Moines: 666 Walnut St - Des Moines, IA
          NC-Charlotte: 401 S Tryon St - Charlotte, NC


          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, Des Moines , Compliance Consultant 5 - (Business Process Testing Lead), Professions , Des Moines, Iowa

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