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Compliance Consultant 6 - Conduct Risk

Company: Wells Fargo
Location: Des Moines
Posted on: June 14, 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.This position directly supports the Payments, Virtual Solutions and Innovation (PVSI) group. The PVSI group brings together the company s robust payments platforms, digital capabilities, online, mobile and phone channels and innovation teams. PVSI also invests in research and development and strategic partnerships to design and build next generation products and customer experiences.Primary Duties and Responsibilities

  • Promote and advocate for a strong Compliance culture in PVSI related to Conduct Risk.
  • Coordinate and partner with PVSI Compliance vertical teams in oversight of Conduct Risk program.
  • Provide guidance, recommendations and coordinate with PVSI Compliance and PVSI businesses in a manner to achieve and ensure compliance with Conduct Risk and corporate policies.
  • Providing expertise in Conduct Risk on PVSI Conduct policy and procedures
  • Provide guidance and recommendations designed in a manner to achieve and ensure compliance with corporate and regulatory requirements, and corporate policies to business management in their development of operational policies and procedures.
  • Assist in the preparation and delivery of Conduct Risk compliance training and awareness program.
  • Identifying, investigating, and assess Conduct Risk, providing solutions available to manage and mitigate them. Credible challenge root cause and coordinate corrective action with other control functions as necessary/required.
  • Provide input into New Business Initiative Approvals involving business operations, assessing possible Conduct Risk issues/impact of proposed new products and services.
  • Identify and escalate emerging risks to management and risk partners as appropriate. Collaborate with relevant lines of business, legal and risk partners to document process and fulfillment concerns and propose mitigation solutions.
  • Maintain and foster strong relationships with product teams, Control partners, Compliance Governance partners, Legal and other business units to facilitate discussions and resolve issues.
  • Develop and maintain regulatory relationships with all relevant regulators including (but not limited to) Federal Reserve, Office of the Comptroller of the Currency, Consumer Financial Protection Bureau as well as liaising with internal and external auditors and assist in managing responses and addressing compliance issues raised in audit reports & Self-Assessment reviews. Prefer Charlotte, other locations in consideration are listed.Please note: Based on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo

    Required Qualifications
    • 12+ 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 12+ years of IT systems security, business process management or financial services industry experience, of which 6+ 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
      • Ability to exercise independent judgment and creative problem solving techniques
      • Ability to present complex concepts to senior management
      • Advanced SharePoint skills

        Other Desired Qualifications
        • Experienced in identification and analysis of Conduct Risk
        • Experienced leading initiatives with little oversight
        • Ability to work horizontally and coordinate across several constituents
        • Knowledgeable in the PVSI businesses and products
        • Ability to think critically, prioritize, work independently, and drive projects
        • Ability to create new process that are meaningful and impactful to the organizations strategic goals
        • Proven experience in building relationships, maintaining effective relationships and collaborating with business partners, risk management partners, regulatory relations and Wells Fargo Audit Services.

          Job Expectations
          • Ability to travel up to 25% of the time


            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, business, company, compliance, compliance department, corporate attorney, counsel, court, lawyer, legal affairs

Keywords: Wells Fargo, Des Moines , Compliance Consultant 6 - Conduct Risk, Professions , Des Moines, Iowa

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