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Compliance Consultant 3

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. 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.The HL T&V - Production Testing Team is seeking seasoned Compliance professionals to develop and execute testing activities in collaboration with a support team with responsibilities encompassing Production Compliance and Business Process Risk Management activities.This position is responsible for working in collaboration with a team of risk professionals to provide Compliance and Business Process Risk Management control testing activities across Correspondent business channels.In addition to the responsibilities above, this position will have responsibility for:

  • Collaborating with the HL T&V Data Analytics team to execute testing activities including developing, implementing, reporting and addressing issues identified with appropriate parties.
  • Participating in other complex testing engagements
  • Evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, product and internal controls
  • Drafting reports of findings and provide recommendations to business line management
  • Consulting with other leaders to assist in developing corrective action plans
  • Assisting in effectively managing change to ensure regulatory compliance
  • Mentoring and coaching peer Compliance Consultants

    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
      • Excellent verbal, written, and interpersonal communication skills
      • Experience testing policy and procedures/control testing
      • Experience leading complex change initiatives
      • Ability to exercise independent judgment and creative problem solving techniques
      • Ability to assess issues, make quick decisions, implement solutions, and influence change
      • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
      • Leadership experience with ability to effectively manage and engage teams
      • Ability to work and influence successfully within a matrix environment and build effective business partnerships with all levels of team members

        Other Desired Qualifications
        • Experience providing "credible challenge" to business partners when necessary
        • Experience assessing test scope, designing test scripts
        • Experience effectively interacting with risk professionals, senior management, and regulators
        • Experience analyzing and interpreting complex data and information
        • Experience executing, documenting and reporting on compliance testingFor 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

            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, Des Moines , Compliance Consultant 3, Professions , Des Moines, Iowa

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