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Compliance Consultant 4 - PVSI Monitoring

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.The Compliance Consultant will be expected to execute Monitoring and/or Quality Assurance activities across the PVSI Compliance Organization. Monitoring activities may include assisting in the development of the annual monitoring plan, developing and executing monitoring scripts, reviewing documentation of ongoing monitoring activities, and recommending additional actions such as additional monitoring, remediation, or enhancements to how the results are communicated/reported. Monitoring Quality Assurance Activities will be both formal/scheduled reviews, as well as ad-hoc reviews (i.e. validate remediation of issues prior to declaring completion). Quality Assurance activities will include planning, process review, test script development, assessment/validation activities, documentation, and preparing and communicating the final results. This role requires the ability to quickly understand a concept or process and the expected standards by which it should be evaluated. The Compliance Consultant should be able to independently develop assessment/monitoring/testing scripts and work papers, and thoroughly document their work, including their thought process for evaluating and determining pass/fail/needs improvement ratings. The Compliance Consultant should be well-versed in process and control frameworks, as well as monitoring and reporting methodologies. Flexibility will be key, as the landscape and priorities can change quickly in the current environment.Responsibilities include: Support Compliance leadership in the design, implement, and manage PVSI Compliance Monitoring protocol to promote on-going compliance risk identification. Execute oversight routines to ensure PVSI Compliance Officers adhere to Compliance Monitoring Standard. Oversee business Self-Assurance Activities (SAA) and ensure compliance risk requirements are incorporated and integrated within PVSI Compliance Monitoring activities. Support PVSI Compliance Officers in the integration New Business Initiatives, Regulatory Change Management, Issues Management, and other compliance elements into the Compliance Monitoring protocol. Support Compliance Officers in the development and execution of compliance monitoring activities: including but not limited to sampling strategies and writing test programs. Maintain and oversee governance of the annual Compliance Monitoring Plan/Inventory. Maintain and foster strong relationships with product compliance team and PVSI Control partners.

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
      Hands-on experience executing monitoring and testing strategies supporting bank compliance function. Experience overseeing the requirements of OCC Heightened Standards. Compliance Risk Management Framework and how Compliance Monitoring activities should be integrated into the Framework. Experience writing detailed test programs to ensure controls are designed and operating as intended Ability to work effectively and independently in a fast-paced, changing environment.

      Job Expectations
      • Ability to travel up to 10% of the time

        Street Address
        NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
        NC-Charlotte: 401 S Tryon St - Charlotte, NC
        NC-Charlotte: 550 S Tryon St - Charlotte, NC
        NC-Charlotte: 11625 N Community House Road - Charlotte, NC
        IA-Des Moines: 800 Walnut St - Des Moines, IA


        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, corporate attorney, counsel, court, legal affairs, legal department, llp, market

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

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