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Compliance Consultant 4

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 company.Wells Fargo Compliance is the company s compliance independent risk management function, providing company-wide leadership, standards, support, and independent oversight to ensure that all front-line business groups abide by applicable laws, rules, regulations and regulatory guidance (regulatory requirements), meet compliance responsibilities, and manage compliance risks. Wells Fargo Compliance credibly challenges management decisions, business processes and activities, and evaluates and assesses adherence to applicable regulatory requirements. It provides appropriate analysis, reporting, and escalation to senior management and the Board of Directors, sets minimum standards for the company, and gives advice, guidance, and support for compliance risk management activities across the enterprise.Brief Group Description Payments, Virtual Solutions and Innovations (PVSI) Compliance institutes the development, implementation, and execution of the compliance strategy for PVSI supporting its payments platforms including digital capabilities, online, mobile, and phone channels, and innovation teams. PVSI Compliance provides independent oversight and support to PVSI lines of business including Operations, Cards & Retail Services, Deposit Products Group, Wells Fargo Virtual Channels, Innovations, and Treasury, Merchant Payments & Solutions. This position supports WF Contact Centers that provide 24x7 service and sales support to consumer and small business customers in over 20 sites. In this role, the Compliance Consultant will provide independent Compliance oversight and support for WF Contact Center team and call center processes / services.Primary Duties and Responsibilities:

  • Promote a strong Compliance culture throughout the Virtual Channels - Contact Center line of business
  • Provide Compliance oversight and subject matter expertise on regulatory compliance requirements
  • Provide advice to business management in the development of procedures and controls for the Contact Center, designed to achieve and ensure compliance with corporate and regulatory requirements and corporate policies.
  • Assess New Business Initiatives (proposed new products and services) and other key business projects for compliance risks; provide regulatory compliance requirements and controls, credible challenges and Compliance approvals.
  • Identify and escalate emerging risks or issues to management and risk partners as appropriate. Collaborate with the business, control teams, legal and risk partners to document process and fulfillment concerns and propose solutions.
  • Monitor key business compliance issues, issue identification and timely resolution.
  • Maintain and foster strong relationships with product teams, Control partners, legal and other lines of business to facilitate discussions and resolve issues.
  • Support Business Process mapping to ensure key compliance controls are identified/developed/documented.
  • Business Process and Controls- Evaluate business processes and controls impacted by emerging risk, recommend control enhancements; monitor key controls, identify, assess, escalate process issues and control gaps.
  • Assist in managing responses and addressing compliance issues raised in audit reports, independent testing and Self-Assessment reviews.

    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

        Other Desired Qualifications
        • Strong knowledge and in depth understanding of banking contact center environment and processes
        • Experience with the interpretation of laws, rulings and regulations impacting the Contact Centers and advise the business as appropriate, including (but not limited to) Reg E, Reg P, Reg B, Reg Z, BSA/AML, FCRA, UDAAP, TCPA, Authentication as well as OCC guidance s; subject matter expertise in one or more of these regulations is preferred
        • Providing advice that protects the Bank s reputation and mitigates regulatory risk
        • Ability to think critically, prioritize, work effectively and independently in a fast-paced, changing environment
        • Experience in building and maintaining relationships, experience in collaborating with and providing credible challenge to business and risk management partners
        • Experience with risk management functions including but not limited to Process Mapping, Compliance Advertising Review, Risk Assessment, Document Review, Operational Risk, and Business Continuity
        • Third Party Risk Management experience



          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, attorney corporate, company, compliance department, compliance office, corporate attorney, lawyer, legal affairs, legal department, llp

Keywords: Wells Fargo, Des Moines , Compliance Consultant 4, Professions , Des Moines, Iowa

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