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Compliance Consultant 3 - Corporate Compliance Supporting Wealth/Abbot Downing

Company: Wells Fargo
Location: Des Moines
Posted on: June 16, 2019

Job Description:

Job DescriptionAt 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 3 will be joining the Wells Fargo Compliance Group supporting Wealth Management and Abbot Downing. In this role, the successful candidate will support cross business compliance programs for Private Wealth Management, overseeing compliance with inter-agency regulations such as the Volcker rule and also includes Federal Regulations such as Reg W. In addition, the position provides detailed analytical support to ongoing monitoring and reporting for Sales Practices risk and corporate policy implementation. Daily responsibilities include updates to relevant tracking systems and monitoring of regulatory changes via automated feeds.Primary Duties and Responsibilities:Responsibilities include but are not limited to: Assist with the development, implementation, and monitoring or risk based compliance programs to oversee compliance with regulatory requirements and firm policies and procedures. Identify potential gaps in business processes and procedures with regard to compliance with regulations and policies. Provide guidance on issues and assist in strengthening procedures as they pertain to regulations or policies. Coordinate with other Wells Fargo compliance departments on regulatory assessments. Produce reporting and provide monitoring and follow-up for remediation and resolution of Regulatory Change Updates.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 Qualifications2+ 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 both2+ 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 fieldDesired QualificationsAudit experienceAbility to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environmentAbility to think creatively to find innovative solutions to complex analytical questionsAdvanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skillsAn active Certified Public Accountant (CPA) designationAn active Certified Regulatory Compliance Manager (CRCM) designationExperience delivering results in a fast-paced, deadline driven environmentAbility to grasp complex business issues quickly, recommend solutions, and drive for resolutionsA BS/BA degree or higher in business, management, accounting, finance or economicsAbility to interact with all levels of an organizationExcellent verbal, written, and interpersonal communication skillsIntermediate Microsoft Office skillsStrong analytical skills with high attention to detail and accuracyOther Desired Qualifications Experience in a compliance field within financial services Understanding of regulatory requirements with the ability to communicate effectively to explain the requirements and associated compliance activities Ability to provide credible challenge Ability to support and drive processes / operational enhancements Experience in communicating with various levels of staff and managementJob ExpectationsAbility to travel up to 5% of the timeSalary InformationThe salary range displayed below is based on a Full-time 40 hour a week schedule.IA-Des Moines: Min: $62,100 Mid: $87,400NC-Charlotte: Min: $62,100 Mid: $87,400MN-Minneapolis: Min: $62,100 Mid: $87,400MO-Saint Louis: Min: $62,100 Mid: $87,400Street AddressMN-Minneapolis: 600 S 4th St - Minneapolis, MNIA-Des Moines: 666 Walnut St - Des Moines, IAMO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MONC-Charlotte: 8505 Ibm Drive - Charlotte, NCDisclaimerAll 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.PandoLogic. Keywords: Regulatory Affairs Consultant, Location: Des Moines, IA - 50320

Keywords: Wells Fargo, Des Moines , Compliance Consultant 3 - Corporate Compliance Supporting Wealth/Abbot Downing, Professions , Des Moines, Iowa

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